Lawrence E. Dwight
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 Edward Dwight was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1965. Lawrence had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2012 - October 25, 2018
SEACREST WEALTH MANAGEMENT, LLC
February 3, 2011 - May 6, 2013
DWIGHT INVESTMENT COUNSEL
April 2, 2007 - March 27, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - March 27, 2009
MORGAN STANLEY & CO. LLC
May 14, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
October 5, 1995 - April 2, 2007
MORGAN STANLEY DW INC.
July 27, 1978 - October 13, 1995
H. M. PAYSON & CO.
January 18, 1978 - September 11, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
January 8, 1965 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
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 1
Date: 12/14/1959
Registered Representative ExaminationSeries 8
Date: 11/1/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 1,561,182,425 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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