Lawrence F. Kern
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 Florsheim Kern III, who also goes by Larry Kern, Lawrence Florsheim Kern, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1977. Lawrence had worked at 2 firms and has passed the Series 63, F04 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
February 7, 1990 - September 25, 1995
ADVANCE CAPITAL SERVICES, INC.
August 12, 1977 - December 16, 1988
HANOVER SECURITIES CORPORATION
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
F04
Date: 4/26/1977
Financial Principal ExaminationSeries 40
Date: 3/8/1977
Registered Principal ExaminationCurrent Firm
ADVANCE CAPITAL SERVICES, INC.
CRD#: 19347 / SEC#: , 8-37456
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCE CAPITAL GROUP, INC. | HOLDING COMPANY | |
| CAPPELLI, ROBERT JOSEPH | DIRECTOR | 1633880 |
| HARKLEROAD, KATHY JO | VICE PRESIDENT, CCO, SECTY. | 2128508 |
| KATYNSKI, JULIE ANN | VICE PRESIDENT-FINANCE, ASST. SECTY. | 2610072 |
| RATHKA, RAYMOND AUGUST | DIRECTOR | 1633889 |
| SHOEMAKER, JOHN CALVIN | DIRECTOR | 1633885 |
| THEISEN, JOSEPH ROBERT | PRESIDENT | 4275238 |
Red Flags
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