Lawrence P. Ehren
Professional summary
Lawrence Peter Ehren was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lawrence is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Lawrence had worked at 6 firms, which includes LANDOLT SECURITIES INC., OBERWEIS SECURITIES INC., GENEVA SECURITIESINC., PFS INVESTMENTS INC., I.M. SIMON & CO. INC., MARQUETTE FINANCIAL GROUP INC..
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2016 - December 31, 2019
LANDOLT SECURITIES, INC.
November 1, 1999 - November 21, 2016
OBERWEIS SECURITIES, INC.
October 18, 1989 - November 1, 1999
GENEVA SECURITIES,INC.
July 22, 1987 - October 6, 1989
PFS INVESTMENTS INC.
April 19, 1982 - November 1, 1983
I.M. SIMON & CO., INC.
May 18, 1981 - April 13, 1982
MARQUETTE FINANCIAL GROUP, INC.
Primary Firm SEC Registration
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: 801-135200, 8-43645
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
What does exam status mean?
Series 6
Passed: 7/20/1987
Current Firm
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: 801-135200, 8-43645
Contact information
SEC notice filing (14 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 301 |
| AUM (Assets Under Management) | $ 137,829,035 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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