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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lawrence? Claim Your ProfileLawrence Shields is an investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc., registered with FINRA and the Securities Investor Protection Corporation (SIPC). Lawrence has been in the securities industry since 1995 and has held previous positions with Morgan Stanley and Citigroup Global Markets Inc. He is licensed to conduct securities business in several states, including Alabama, California, Connecticut, Florida, Georgia, Maine, Massachusetts, Mississippi, New Jersey, New York, Texas, and Vermont. Lawrence is registered as an Investment Advisor Representative in Connecticut, Florida, New York, and Texas. Lawrence Shields is a highly experienced financial professional offering a range of investment services, including portfolio management for individuals and businesses, educational seminars, and selection of other advisors.
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
FL
12/14/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOCA RATON FL)
NY
06/01/2009 - 11/21/2016
MORGAN STANLEY (NEW YORK NY)
NY
11/12/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/14/1995 - 11/21/2007
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
IA
Issued 12/19/2019
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 03/27/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/09/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 10/03/1994
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
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