Lawrence J. Newman
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 Joel Newman was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1977. Lawrence had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2005 - April 6, 2021
EMMET & CO, INC.
June 23, 2000 - April 25, 2005
W. H. MELL ASSOCIATES, INC.
May 23, 1995 - December 8, 1999
GREENWICH PARTNERS, LLC
September 16, 1977 - May 16, 1995
PRUDENTIAL EQUITY GROUP, LLC
April 21, 1977 - September 16, 1977
BACHE HALSEY STUART 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
EMMET & CO, INC.
CRD#: 15993 / SEC#: , 8-33073
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMMET, CHRISTOPHER TEMPLE | PRESIDENT, CEO, CFO, CCO | 200954 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
