Lawrence M. Barnes
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 Marvin Barnes JR, who also goes by Lawrence M Barnes Jr, Lawrence Marvin Barnes, Pete Barnes, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1976. Lawrence had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 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
May 19, 2020 - December 31, 2020
CENTAURUS FINANCIAL, INC.
April 29, 2014 - May 29, 2018
CABOT LODGE SECURITIES LLC
July 26, 2005 - August 5, 2013
ALLIED BEACON PARTNERS, INC.
May 31, 2005 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
August 28, 2002 - June 25, 2003
QUICK & REILLY, INC.
May 1, 1986 - June 25, 2003
QUICK & REILLY, INC.
November 29, 1984 - January 21, 1986
INVESCO CAPITAL MARKETS, INC.
September 22, 1976 - November 3, 1978
EDWARD JONES
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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 8
Date: 7/24/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
