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LAWRENCE THOMAS SINGER
CRD#: 4729094
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 6011 University Blvd Ste 300
Ellicott City, MD 21043
Ellicott City, MD 21043
0
Disclosures
18
Years of Experience
View By:
State Registrations
B
Delaware 10/18/2018
B
North Carolina 5/31/2019
B
Florida 5/31/2019
B
Ohio 5/31/2019
B
Georgia 5/15/2019
B
Pennsylvania 5/31/2019
B
Illinois 5/31/2019
B
South Carolina 5/31/2019
B
Indiana 5/31/2019
B
Tennessee 5/31/2019
B
Louisiana 5/31/2019
B
Texas 5/31/2019
B
Maryland 5/18/2017
IA
Texas 6/2/2019
IA
Maryland 5/18/2017
B
Vermont 12/7/2020
B
Massachusetts 1/22/2021
B
Virginia 5/31/2019
B
Mississippi 8/4/2023
B
Washington 5/31/2019
B
New Jersey 5/31/2019
B
Wisconsin 5/31/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/18/2017
B
Registered with this firm since 5/15/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/22/2017 - 04/26/2017 | STEVENSVILLE, MD | |
IA | 03/11/2015 - 12/31/2016 | ANNAPOLIS, MD | |
B | 05/06/2004 - 01/08/2013 | ANNAPOLIS, MD | |
IA | 06/07/2004 - 12/31/2012 | ANNAPOLIS, MD | |
B | 05/06/2004 - 07/03/2006 | MINNEAPOLIS, MN |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.