Lawrence Stephen Herold
Professional Summary
Lawrence Stephen Herold is a registered financial advisor currently at HEROLD ADVISORS, INC. located in New York, New York and HEROLD & LANTERN INVESTMENTS, INC. located in New York, New York. Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Lawrence has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
HEROLD ADVISORS, INC.
Contact Information
Main Address
711 3rd Avenue Suite 1802, New York, NY 10017Phone Number
(212) 371-3950# of Employees
9SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
563AUM (Assets Under Management)
$540,163,645Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
HEROLD ADVISORS, INC.
State Registrations and Notice Filings
(4/29/2024)
(11/2/2020)
(6/20/2024)
(11/3/2020)
(12/19/2025)
(11/2/2020)
(11/23/2020)
(1/19/2024)
(1/3/2022)
(11/2/2020)
(11/17/2023)
(1/3/2022)
(11/2/2020)
(11/2/2020)
(10/6/2021)
(1/4/2022)
(11/2/2020)
(11/2/2020)
(4/17/2024)
(1/3/2022)
(11/2/2020)
(12/8/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2003SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Stephen Herold's CRS (Customer Relationship Summary).
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