Lawrence S. Fein
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 Seth Fein was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1978. Lawrence had worked at 8 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 1998 - October 23, 2008
QUEST CAPITAL STRATEGIES, INC.
February 9, 1998 - May 15, 1998
ALL-TECH DIRECT, INC.
September 26, 1996 - November 20, 1996
FIRST INSTITUTIONAL SECURITIES, L.L.C.
June 21, 1993 - April 2, 1996
COMPULIFE INVESTOR SERVICES, INC.
January 6, 1993 - February 1, 1993
BNY MELLON SECURITIES CORPORATION
June 28, 1991 - December 3, 1991
REICH & CO., INC.
April 22, 1991 - June 10, 1991
INVESTORS ASSOCIATES, INC.
September 25, 1978 - April 20, 1989
MORGAN STANLEY DW 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 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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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