Lawrence S. Firestone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lawrence Sherwin Firestone was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1981. Lawrence had worked at 13 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2010 - December 18, 2014
NORTH RIDGE SECURITIES CORP.
April 13, 2006 - May 1, 2009
OSAIC FA, INC.
August 24, 2005 - April 5, 2006
AEGIS CAPITAL CORP.
January 10, 2003 - June 30, 2005
YANKEE FINANCIAL GROUP, INC.
April 12, 2002 - December 31, 2002
WISE PLANNING CORP.
July 18, 2001 - April 9, 2002
SIGNATOR INVESTORS, INC.
August 30, 1997 - July 6, 2001
WISE PLANNING CORP.
April 8, 1992 - August 28, 1997
METROPOLITAN LIFE INSURANCE COMPANY
April 8, 1992 - August 28, 1997
MSI FINANCIAL SERVICES, INC.
February 28, 1990 - February 27, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 28, 1990 - February 27, 1992
EQUITABLE ADVISORS, LLC
May 30, 1989 - December 21, 1989
KIDDER, PEABODY & CO. INCORPORATED
January 5, 1987 - January 11, 1988
SBC WARBURG DILLON READ INC.
March 23, 1981 - January 12, 1987
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/21/1981
Interest Rate Options ExaminationCurrent Firm
NORTH RIDGE SECURITIES CORP.
CRD#: 27098 / SEC#: 801-108451, 8-42879
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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