Wayne B. 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.
Wayne B Lawrence was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1986. Wayne had worked at 5 firms and has passed the Series 63, SIE, Series 18, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2011 - August 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
August 17, 2004 - February 2, 2011
BARCLAYS CAPITAL INC.
December 1, 2000 - August 12, 2004
UBS SECURITIES LLC
July 25, 1987 - October 29, 1987
PAINEWEBBER REAL ESTATE SECURITIES INC.
March 6, 1986 - December 1, 2000
UBS 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 18
Date: 5/17/1986
Securities Industry Rules and Regulations ExaminationSeries 8
Date: 5/1/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KGS-ALPHA CAPITAL MARKETS, L.P.
CRD#: 151705 / SEC#: , 8-68390
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KGS HOLDINGS, L.P. | PARENT | |
| GOLDMAN, DANIEL ALAN | PRESIDENT | 1406528 |
| KAHRAMAN, LEVENT | CEO, HOME OFFICE SUPERVISOR | 2802822 |
| KGS-ALPHA CAPITAL MARKETS GP, LLC | PARENT - GENERAL PARTNER | |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER | 2795963 |
| KRIEGER, FREDERIC MICHAEL | GENERAL COUNSEL, EXECUTIVE REP., AML SUPERVISOR | 2194757 |
| SEERY, ROBERT PATRICK | CFO, FINOP | 862273 |
| SMOLYANSKIY, IGOR | CHIEF ADMINISTRATIVE OFFICER | 5017961 |
Disclosures
| Regulatory Event | 3 |
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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