Lawrence D. Betsill
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 Dennis Betsill, who also goes by Larry Betsill, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1976. Lawrence had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2009 - February 6, 2012
KAUFMAN BROS., L.P.
August 14, 2008 - August 25, 2009
TOUSSAINT CAPITAL PARTNERS, LLC
September 9, 2003 - November 1, 2004
BONDS DIRECT SECURITIES LLC
August 20, 2003 - May 23, 2008
JEFFERIES LLC
August 23, 2001 - August 22, 2003
CREDIT SUISSE SECURITIES (USA) LLC
December 19, 1997 - June 8, 1999
MCFADDEN, FARRELL & SMITH, L.P.
August 9, 1994 - November 21, 1996
ABN AMRO SECURITIES LLC
December 11, 1989 - July 22, 1994
PERSHING LLC
March 2, 1989 - August 14, 1989
HERZOG, HEINE, GEDULD, LLC
December 15, 1987 - February 8, 1989
JSC SECURITIES, INC.
September 26, 1978 - October 20, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
KAUFMAN BROS., L.P.
CRD#: 37909 / SEC#: , 8-48183
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLMK CAPITAL MANAGEMENT LLC | LIMITED PARTNER | |
| KAUFMAN, SUSAN GAIL | LIMITED PARTNER | 2620519 |
| KAUFMAN, CRAIG DOUGLAS | HEAD OF CAPITAL MARKETS AND LIMITED PARTNER | 2042355 |
| DURKIN, GERARD ANTHONY | CHIEF FINANCIAL OFFICER AND FINOP PRINCIPAL | 1292336 |
| GURROLA, KENNETH WILLIAM ESQ. | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER AND LIMITED PARTNER | 5657027 |
| KAUFMAN, ROBERT JAY | HEAD OF INVESTMENT BANKING | 2580169 |
| KB MANAGEMENT LLC | GENERAL PARTNER | |
| LORENZO, BENNY | CHAIRMAN, CEO AND DIRECTOR OF RESEARCH | 1888674 |
| ROSS, STUART BERT | LIMITED PARTNER | 2094044 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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