Lawrence S. Herold

HEROLD ADVISORS

New York, NY 10022-7513

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CRD#: 870531

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, Series 16, Series 7, Series 14, Series 53, Series 27, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) HEROLD ADVISORS, INC. (INVESTMENT RELATED),805 THIRD AVE., NY, NY 10022, INVESTMENT ADVISORS, 40%+ OWNER, PRESIDENT, DIRECTOR, CEO, COO, CCO, CHIEF LEGAL OFFICER, SINCE 12/1980. 20 HRS/MONTH (ALL OF WHICH ARE DURING SECURITIES TRADING HOURS). 2)HEROLD INSURANCE AGENCY, INC. (NON-INVESTMENT RELATED), 805 THIRD AVE., NY, NY 10022. 50% OWNER, CHAIRMAN OF THE BOARD, DIRECTOR SINCE 6/22/87. CHAIRMAN OF THE BOARD AND SECRETARY SINCE 4/12/89. ONE HOUR/MONTH (WHICH IS DURING SECURITIES TRADING HOURS).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Stephen Herold's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 16, 2020 - Present

HEROLD ADVISORS, INC.

Office #1: 845 Third Avene Suite 1703, New York, NY 10022-7513

RIA

CRD#: 105090

New York, NY

Current

November 2, 2020 - Present

HEROLD & LANTERN INVESTMENTS, INC.

Office #1: 845 Third Avenue Suite 1703, New York, NY 10022

CRD#: 30996

New York, NY

Past

March 31, 1994 - September 28, 2017

CHARLES JORDAN & CO., LLC

CRD#: 30303

NEW YORK, NY

Past

December 19, 1984 - June 24, 1999

BERNARD HEROLD & CO., INC.

CRD#: 6193

Past

August 27, 1979 - November 5, 2020

BERNARD HEROLD & CO., INC.

CRD#: 6193

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEROLD ADVISORS, INC.

CRD#: 105090 / SEC#: 801-11216

RIA

Registered Investment Advisory firm - (1/2/1976 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(4/29/2024)

California
(11/2/2020)

Colorado
(6/20/2024)

Connecticut
(11/3/2020)

District of Columbia
(11/2/2020)

Florida
(11/23/2020)

Illinois
(1/19/2024)

Maryland
(1/3/2022)

Massachusetts
(11/2/2020)

Michigan
(11/17/2023)

Minnesota
(1/3/2022)

New Jersey
(11/2/2020)

New York
(11/2/2020)

IAR

New York
(10/6/2021)

North Carolina
(1/4/2022)

Ohio
(11/2/2020)

Pennsylvania
(11/2/2020)

South Carolina
(4/17/2024)

Texas
(1/3/2022)

Virginia
(11/2/2020)

West Virginia
(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

State Security Law Exam

Series 63

Date: 10/16/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/11/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 16

Date: 3/29/1995

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 8/18/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 2/25/1990

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 7/17/1989

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 11/16/1985

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/1985

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/18/1984

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

HEROLD ADVISORS, INC.

CRD#: 105090 / SEC#: 801-11216

RIA

Registered Investment Advisory firm - (1/2/1976 Approved)

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Contact information

Main Address

845 Third Avene Suite 1703, New York, NY 10022-7513

Mailing Address

Phone number

(212) 371-3950

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HEROLD ADVISORS, INC. MANAGED ACCOUNT FIRM BROCHURE MARCH 2025 (3/31/2025)

HEROLD ADVISORS, INC. INDIVIDUAL INVESTMENT CONSULTING WRAP FEE ADVISORY PROGRAM BROCHURE MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	523
AUM (Assets Under Management)	$ 489,697,335

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Lawrence S. Herold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Stephen Herold's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEROLD & LANTERN INVESTMENTS, INC.

CHARLES JORDAN & CO., LLC

BERNARD HEROLD & CO., INC.

BERNARD HEROLD & CO., INC.

Primary Firm SEC Registration

HEROLD ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/1981

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/11/2003

Series 16

Date: 3/29/1995

Series 7

Date: 8/18/1979

Series 14

Date: 2/25/1990

Series 53

Date: 7/17/1989

Series 27

Date: 11/16/1985

Series 24

Date: 4/17/1985

Series 4

Date: 12/18/1984

FINRA

Current Firm

HEROLD ADVISORS, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEROLD ADVISORS, INC.

TRUST BUT VERIFY

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