Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lawrence? Claim Your ProfileLawrence Ricci is a financial professional with over 20 years of experience in the financial services industry. Lawrence is currently registered with New York Life Investment Management LLC and is licensed to provide investment advice in New York. Lawrence's previous experience includes roles with Southlake Capital, L.L.C., Quasar Distributors, LLC, First Fund Distributors, Inc., Provident Advisers, Inc., and The Dreyfus Service Corporation. Lawrence has a strong track record of success in providing investment advice to a variety of clients, including individuals, corporations, and institutions. Lawrence is committed to providing his clients with personalized financial advice and investment strategies tailored to their specific needs and goals.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
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2
NY
10/26/2021 - Present
NEW York Life Investment Management LLC (NEW YORK NY)
NY
07/19/2005 - 03/27/2006
SOUTHLAKE CAPITAL, L.L.C. (NEW YORK NY)
ME
10/04/2001 - 01/02/2004
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
AZ
08/03/2000 - 10/04/2001
FIRST FUND DISTRIBUTORS, INC. (PHOENIX AZ)
NY
08/30/1999 - 05/18/2000
PROVIDENT ADVISERS, INC. (NEW YORK NY)
AZ
12/18/1997 - 04/27/1999
FIRST FUND DISTRIBUTORS, INC. (PHOENIX AZ)
NY
10/20/1995 - 02/14/1997
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
BOTH
Issued 08/31/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/17/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2014
Series 7 - General Securities Representative Examination
BC
Issued 10/05/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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