Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lawrence? Claim Your ProfileLawrence Badler is a financial advisor with UBS Financial Services Inc. Lawrence has been in the securities industry since January 1980. Lawrence is registered with the Securities and Exchange Commission (SEC) and holds licenses for securities and investment advisory services in numerous states including Missouri, New York and Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
MO
03/27/2018 - Present
UBS Financial Services Inc. (Clayton MO)
MO
06/01/2009 - 03/18/2011
MORGAN STANLEY SMITH BARNEY (CLAYTON MO)
MO
12/11/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CLAYTON MO)
NY
01/03/2003 - 12/11/2003
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
07/18/1990 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
08/15/1991 - 04/18/1995
OPPENHEIMER & CO., INC.
NY
05/19/1989 - 07/20/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
10/17/1984 - 06/03/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
01/23/1980 - 10/26/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 2/7/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/28/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/27/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 9/3/1980
PC - AMEX Put and Call Exam
BC
Issued 2/21/1977
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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