Lawrence S. Lena
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 Salvatore Lena, who also goes by Lawrence S Lena, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1977. Lawrence had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2009 - December 31, 2017
CANTELLA & CO., INC.
March 18, 1998 - September 11, 2009
JANNEY MONTGOMERY SCOTT LLC
February 8, 1993 - March 31, 1998
CITIGROUP GLOBAL MARKETS INC.
August 27, 1984 - February 12, 1993
GRUNTAL & CO., L.L.C.
August 8, 1983 - August 2, 1984
BUETTI, CANNON & CO., INCORPORATED
December 10, 1982 - July 5, 1983
PURCELL GRAHAM INCORPORATED
November 9, 1982 - December 12, 1983
FIRST EASTERN EQUITY CORP.
January 31, 1982 - October 8, 1982
AMERICAN DIVERSIFIED DISTRIBUTORS CORP.
May 9, 1980 - December 7, 1981
ADVANTAGE CAPITAL CORPORATION
March 10, 1977 - June 16, 1980
FORESTERS FINANCIAL SERVICES, 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
Series 1
Date: 3/7/1977
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
