Lawrence Mintzer
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 Mintzer was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1976. Lawrence had worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2022 - December 31, 2023
AGES FINANCIAL SERVICES, LTD.
July 16, 2009 - January 4, 2021
AGES FINANCIAL SERVICES, LTD.
June 23, 2006 - October 1, 2008
FIRST DUNBAR SECURITIES CORPORATION
January 22, 2004 - December 31, 2005
L.M. KOHN & COMPANY
January 23, 1997 - December 31, 2003
MUTUAL SERVICE CORPORATION
July 26, 1994 - December 31, 1996
MUTUAL SERVICE CORPORATION
February 22, 1982 - March 22, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 13, 1976 - January 13, 2004
NEW ENGLAND SECURITIES
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 1/3/1976
Registered Representative ExaminationCurrent Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
