LH
CFA
LH
CFA
Lawrence Herold is a CFA-designated registered investment advisor, based in New York, NY, with 47 years of industry experience. Lawrence is also registered as a broker, so some compensation may come from commissions on products sold.
Location
711 3rd Avenue Suite 1802, New York, NY, 10017
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
September 2002Final
Other Business ActivitiesSells Insurance
Lawrence is 40%+ owner, President, Director, CEO, COO, CCO, and Chief Legal Officer of Herold Advisors, Inc., dedicating about 10-20% of his time. He also owns 50% of Herold Insurance Agency, Inc. and serves as Chairman of the Board and Secretary, spending minimal time on this.
Employment History
Current Registrations
Herold & Lantern Investments, INC.Broker
November 2020 - Present · 5 yrs 11 mos
Herold Advisors, INC.
October 2020 - Present · 6 yrs
Previous Registrations
Charles Jordan & CO., LLCBroker
March 1994 - September 2017 · 23 yrs 6 mos
Bernard Herold & CO., INC.Broker
December 1984 - June 1999 · 14 yrs 6 mos
Bernard Herold & CO., INC.Broker
August 1979 - November 2020 · 41 yrs 3 mos
State Registrations21 states
AZCACOCTDCDEFLILMAMDMIMNNCNJNYOHPASCTXVAWV
AdvisorBrokerBoth
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
No exam information available for this advisor.
More Advisors
- Joshua Bronstein, CFANeuberger Berman Bd LLC
- Daniel Silver, CFACibc Private Wealth Advisors, INC.
- Peter May, CFPHfh Planning INC.
- Joshua Rubin, CFPNerdwallet Wealth Partners, LLC
- Karen Felmly, CFPMorgan Stanley
- David Weigel, CFPWeigelfam