Lawrence R. Davis
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 Rhodes Davis, who also goes by Larry Davis, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1981. Lawrence had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2017 - December 31, 2023
CROWN CAPITAL SECURITIES, L.P.
October 31, 2017 - December 31, 2023
CROWN CAPITAL SECURITIES, L.P.
January 8, 2013 - November 6, 2017
NATIONAL PLANNING CORPORATION
January 4, 2013 - November 6, 2017
NATIONAL PLANNING CORPORATION
June 1, 2004 - January 28, 2013
LPL FINANCIAL LLC
June 1, 2004 - January 28, 2013
LPL FINANCIAL LLC
January 1, 1999 - June 2, 2004
WS GRIFFITH SECURITIES, INC.
March 15, 1993 - June 2, 2004
WS GRIFFITH SECURITIES, INC.
April 27, 1981 - March 15, 1993
VP DISTRIBUTORS LLC
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
Current Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
