Lawrence R. Gonzales
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 Gonzales, who also goes by Larry R. Gonzales, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1976. Lawrence had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 1, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2012 - December 31, 2018
PLANMEMBER SECURITIES CORPORATION
May 15, 2012 - December 31, 2018
PLANMEMBER SECURITIES CORPORATION
October 26, 2007 - May 15, 2012
FOOTHILL SECURITIES, INC.
October 26, 2007 - May 15, 2012
FOOTHILL SECURITIES, INC.
March 1, 2005 - November 12, 2007
BRECEK & YOUNG ADVISORS, INC.
March 1, 2005 - November 12, 2007
BRECEK & YOUNG ADVISORS, INC.
April 20, 2000 - March 1, 2005
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
March 31, 2000 - March 1, 2005
ASSOCIATED SECURITIES CORP.
February 4, 1986 - April 19, 2000
LPL FINANCIAL LLC
November 21, 1980 - February 18, 1986
LEHMAN BROTHERS INC.
May 7, 1979 - July 31, 1980
LPL FINANCIAL LLC
June 9, 1978 - June 6, 1979
SOUTHMARK FINANCIAL SERVICES, INC.
January 6, 1977 - July 9, 1978
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
September 21, 1976 - January 6, 1977
PUTNAM FUND DISTRIBUTORS, INC
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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: 9/13/1976
Registered Representative ExaminationSeries 2
Date: 10/2/1974
Non-Member General Securities ExaminationCurrent Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
