Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
LAWRENCE RICHARD STONE
CRD#: 2420645
IA
Investment Adviser
B
Previous Broker
MUTUAL ADVISORS, LLCCRD#: 167658 482 N Rosemead Blvd. Ste 203
Pasadena, CA 91107
Registration History
1995200020052010201520202025IAMUTUAL ADVISORS, LLC (CRD# 167658)2017 - Present (7 years)BMUTUAL SECURITIES, INC. (CRD# 13092)2017 - 2023 (6 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)1999 - 2017 (18 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1994 - 1999 (5 years)BTRIPLE CHECK FINANCIAL SERVICE... (CRD# 13344)1994 - 1994 (<1 year)IANATIONAL PLANNING CORPORATION ... (CRD# 29604)2004 - 2017 (13 years)IAFINANCIAL SECURITY MANAGEMENT, INC (CRD# 116570)2016 - 2017 (1 year)
License(s)

State Registrations

IA
California 11/3/2017
Current Registration(s)
IA
MUTUAL ADVISORS, LLC (CRD#:167658)
482 N Rosemead Blvd. Ste 203, Pasadena, CA 91107
Registered with this firm since 11/3/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 11/03/2017 - 12/31/2023 MUTUAL SECURITIES, INC. (CRD#:13092) Pasadena, CA
IA
 09/16/2004 - 11/08/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) PASADENA, CA
B
 06/21/1999 - 11/08/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) PASADENA, CA
IA
 02/23/2016 - 11/02/2017 FINANCIAL SECURITY MANAGEMENT, INC (CRD#:116570) Pasadena, CA
B
 05/09/1994 - 06/25/1999 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
 01/12/1994 - 05/09/1994 TRIPLE CHECK FINANCIAL SERVICES, INC. (CRD#:13344) BURBANK, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.