Lawrence Doody is a registered investment advisor, based in Palm Desert, CA, with 38 years of industry experience. Lawrence is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Palm Desert, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Lawrence works as an advisor for Uhlmann Investment Management LLC, providing investment advisor services. This takes a few hours per week.
Employment History
Current Registrations
Uhlmann Price Securities, LLC
Uhlmann Price Securities, LLCBroker
Uhlmann Investment Management, L.L.C.
Previous Registrations
Freedom Investors CORP.Broker
Kingsbury Capital, LLCBroker
Kingsbury Capital Investment Advisors LLC
Spencer Trask Ventures, INC.Broker
Brewer Financial Services, LLCBroker
Brewer Investment Advisors LLC
Howe Barnes Capital Management, INC.
Howe Barnes Hoefer & Arnett, INC.Broker
Wayne Hummer Asset Management Company
Wayne Hummer Investments L.L.C.Broker
First Union Securities, INC.Broker
Principal Financial Securities,inc.Broker
Prudential Securities IncorporatedBroker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Century Financial Securities, INC.Broker
Boettcher & Company, INC.Broker
Pruco Securities CorporationBroker
Bln Investment CORP.Broker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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