Lawrence J. Friedlander
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 Jay Friedlander, who also goes by Larry J Friedlander, Larry Jay Friedlander, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1981. Lawrence had worked at 14 firms and has passed the Series 63, SIE, Series 55 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 27, 2016 - October 3, 2017
WALL STREET ACCESS
February 28, 2015 - December 7, 2015
FUSION ANALYTICS SECURITIES LLC
May 1, 2013 - July 31, 2013
ASCENDIANT CAPITAL MARKETS, LLC
August 24, 2012 - May 7, 2013
COWEN PRIME SERVICES LLC
May 27, 2011 - July 24, 2012
RODMAN & RENSHAW, LLC
March 11, 2009 - May 27, 2011
HUDSON SECURITIES,INC.
June 23, 2004 - March 10, 2009
SCHONFELD SECURITIES, LLC
June 2, 2003 - October 21, 2004
TRINIX SECURITIES LLC
October 2, 2002 - December 3, 2002
COMPLETE TRADE
July 12, 2001 - June 10, 2002
SCHONFELD SECURITIES, LLC
December 2, 1988 - July 5, 2001
MORGAN STANLEY DW INC.
November 7, 1988 - January 1, 1989
LEHMAN BROTHERS INC.
March 16, 1984 - November 1, 1988
J.P. MORGAN SECURITIES LLC
August 12, 1982 - March 29, 1984
CITIGROUP GLOBAL MARKETS INC.
March 23, 1981 - May 12, 1982
GLICKENHAUS & CO. - NEW JERSEY
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 55
Date: 7/17/2001
Limited Representative-Equity Trader ExamCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
