Lawrence J. Hold
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 Hold, who also goes by Larry Jay Hold, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1975. Lawrence had worked at 8 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 1988 - February 13, 1992
NEWPORT COAST SECURITIES, INC.
February 24, 1988 - September 17, 1988
WEN BIRKHOFER & CO., INC.
May 30, 1985 - December 8, 1986
LPL FINANCIAL LLC
July 19, 1979 - May 28, 1980
LPL FINANCIAL LLC
February 24, 1978 - February 6, 1990
MORGAN STANLEY DW INC.
November 22, 1977 - February 20, 1978
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
October 20, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
August 21, 1975 - February 24, 1978
REYNOLDS SECURITIES, 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
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
