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William Francis Lawrence

Rosenblatt Securities Inc.

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About William Francis Lawrence

William Francis Lawrence is a financial professional with over two decades of experience in the securities industry. William has held positions at several prominent firms, including The Griswold Company, Incorporated, Sungard Global Execution Services LLC and Direct Access Partners LLC. William is currently registered with Rosenblatt Securities Inc. in New York, New York. William has a diverse range of licenses and certifications, including Series 7, Series 55, Series 25, Series 57TO and Series 63.

Firm Information

William Lawrence is currently registered with Rosenblatt Securities Inc.. Rosenblatt Securities Inc. is a corporation formed on August 29, 1979, with an approved status. They are registered with the Securities and Exchange Commission and in 17 states, including California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, Minnesota, Missouri, New Jersey, New York, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and Washington. They have reported 6 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

32

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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William Lawrence’s Registration & Firm History

NY

05/16/2013 - Present

Rosenblatt Securities Inc. (NEW YORK NY)

NY

02/07/2013 - 06/03/2013

DIRECT ACCESS PARTNERS LLC (NEW YORK NY)

NY

12/04/2006 - 01/31/2013

THE GRISWOLD COMPANY, INCORPORATED (NEW YORK NY)

NY

10/01/2000 - 12/15/2006

SUNGARD GLOBAL EXECUTION SERVICES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/27/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/17/2009

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/20/2008

Series 7 - General Securities Representative Examination

BC

Issued 05/20/1999

Series 25 - NYSE Trading Assistant Examination

BC

Issued 03/25/1998

Series 7B - Floor Broker Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for William Francis Lawrence.
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