Richard L. Lawrence
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.
Richard Lann Lawrence was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 6 firms and has passed the Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 1990 - February 9, 1990
AHART & BRYAN, INC.
September 29, 1987 - February 19, 1988
DELTA FINANCIAL INVESTMENT CORPORATION
May 30, 1986 - October 22, 1987
ALLEGIS FINANCIAL INVESTMENT CORPORATION
March 22, 1983 - September 25, 1984
FIRST INVESTMENT SECURITIES, INC.
September 28, 1982 - September 28, 1983
FRANK S. HEIGEL & CO.
June 16, 1977 - April 7, 1981
STEPHENS
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 40
Date: 6/10/1977
Registered Principal ExaminationCurrent Firm
AHART & BRYAN, INC.
CRD#: 16521 / SEC#: , 8-42315
Contact information
Documents
Red Flags
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