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LAWRENCE LAROSE
LARRY LAROSE, LAWRENCE RICHARD LAROSE
CRD#: 5866597
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 321 Broadway
Saratoga Springs, NY 12866
Saratoga Springs, NY 12866
0
Disclosures
14
Years of Experience
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State Registrations
B
Alaska 5/3/2023
B
Nebraska 5/3/2023
B
California 5/3/2023
B
Nevada 5/3/2023
B
Colorado 5/3/2023
B
New Hampshire 5/3/2023
B
Connecticut 5/3/2023
B
New Jersey 5/3/2023
B
Delaware 5/3/2023
B
New Mexico 5/3/2023
B
District of Columbia 5/3/2023
B
New York 11/7/2022
B
Florida 5/3/2023
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New York 11/7/2022
B
Georgia 5/3/2023
B
North Carolina 5/3/2023
B
Idaho 5/3/2023
B
Oklahoma 5/3/2023
B
Illinois 5/3/2023
B
Pennsylvania 5/3/2023
B
Kansas 5/3/2023
B
South Carolina 5/3/2023
B
Louisiana 5/3/2023
B
South Dakota 5/3/2023
B
Maryland 5/3/2023
B
Tennessee 5/3/2023
B
Massachusetts 5/3/2023
B
Texas 5/3/2023
B
Michigan 5/3/2023
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Texas 5/3/2023
B
Minnesota 5/3/2023
B
Virginia 5/3/2023
B
Montana 5/3/2023
B
Wyoming 5/3/2023
SRO Registrations
B
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IA
Registered with this firm since 11/7/2022
B
Registered with this firm since 11/7/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/10/2021 - 11/03/2022 | Saratoga Springs, NY | |
B | 01/04/2021 - 11/03/2022 | SARATOGA SPRINGS, NY | |
B | 01/24/2011 - 01/04/2021 | LATHAM, NY |
Saratoga Springs, NY
07/10/2021 - 11/03/2022
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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.