Lawrence R. Marina
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 Richard Marina JR, who also goes by Larry Marina Jr, was a registered financial advisor .
Lawrence is a previously registered financial advisor and started their career in finance in 1975. Lawrence had worked at 13 firms and has passed the Series 65, Series 63, PC, Series 15, Series 7 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
January 2, 2004 - September 20, 2005
VOYA FINANCIAL ADVISORS, INC.
September 17, 2003 - September 20, 2005
VOYA FINANCIAL ADVISORS, INC.
March 9, 2002 - August 1, 2003
RBC CAPITAL MARKETS, LLC
January 3, 2000 - August 1, 2003
RBC CAPITAL MARKETS, LLC
July 26, 1999 - March 9, 2002
SUTRO & CO. INCORPORATED
April 16, 1996 - July 13, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 1991 - March 6, 1996
CITICORP INVESTMENT SERVICES
September 4, 1990 - September 3, 1991
WELLS FARGO CLEARING SERVICES, LLC
February 13, 1990 - September 4, 1990
BOETTCHER & COMPANY, INC.
January 5, 1988 - February 27, 1990
ROBERT THOMAS SECURITIES, INC
June 12, 1986 - February 18, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
October 23, 1984 - June 3, 1986
CITIGROUP GLOBAL MARKETS INC.
October 15, 1982 - November 1, 1984
PRUDENTIAL EQUITY GROUP, LLC
July 27, 1978 - October 26, 1982
E. F. HUTTON & COMPANY INC
October 1, 1975 - November 13, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
PC
Date: 2/10/1997
AMEX Put and Call ExamSeries 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 8
Date: 9/11/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
