Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lawrence? Claim Your ProfileLawrence De santis is a financial advisor with over 35 years of experience in the industry. Lawrence is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in California. Lawrence holds a Series 7, Series 3, Series 63 and Series 65 license, and has previously worked with Dean Witter Reynolds Inc., XELAN SECURITIES CORPORATION, MARKETING ONE SECURITIES, INC., WELLS FARGO SECURITIES INC., BA INVESTMENT SERVICES, INC., BANC OF AMERICA INVESTMENT SERVICES, INC. Lawrence also has experience with Bank of America, N.A. and has a broad experience working with high net worth individuals, corporations, insurance companies, charitable organizations, pension and profit sharing plans, and state or municipal government entities.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
09/25/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
07/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CERRITOS CA)
CA
07/29/1994 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
CA
11/19/1993 - 05/17/1994
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
OR
04/20/1993 - 11/19/1993
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
NA
02/26/1991 - 10/02/1991
XELAN SECURITIES CORPORATION
NY
07/23/1985 - 09/28/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
06/20/1984 - 06/19/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 04/16/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/03/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1989
Series 3 - National Commodity Futures Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lawrence De santis is the right advisor for you? Invested Better is here to help.
