Herold Advisors - President, Director, CEO, Chief Legal Officer, CCO · Herold Advisors, Inc.
Lawrence S. Herold
CRD 870531 · Named on Form ADV at 2 SEC-registered advisers
At a glance
Herold Advisors, Inc., an SEC-registered broker-dealer firm based in New York, NY with $540 million in regulatory assets, lists Lawrence S. Herold on its Form ADV as Herold Advisors - President, Director, CEO, Chief Legal Officer, CCO, a control person. The SEC filings also name Lawrence at 1 other registered adviser.
Firms and roles
- Herold Advisors, Inc.Herold Advisors - President, Director, CEO, Chief Legal Officer, CCOBroker-dealer firm · New York, NY · $540M in regulatory assets
- Lantern Wealth Advisors, LLCOwnerWealth manager · Melville, NY · $320M in regulatory assets
AtlasMembers
Lawrence’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Paula M. HeroldHerold Advisors, Inc - Secretary, Herold Advisors, Inc.
- Keith M. LantonPercheron President and Treasurer, Herold Advisors, Inc.
- Wendy D. SheftelPercheron - Shareholder, Herold Advisors, Inc.
- Daphne Jo StascoChief Compliance Officer, Lantern Wealth Advisors, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Lawrence’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.