Articles Tagged with Laurence Pettit

Laurence Pettit

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that Virginia-based Windsor Street Capital broker Laurence Pettit has received a regulatory sanction and several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pettit (CRD# 2215495).

Laurence Pettit has spent 25 years in the securities industry and has been registered with Windsor Street Capital in Midlothian, Virginia since 2011. Previous registrations include Anderson & Strudwick in Richmond, Virginia (2000-2011) and Scott & Stringfellow in Richmond, Virginia (1992-2000). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 13, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 26, 1992; and Series 7 (General Securities Representative Examination), which he obtained on May 12, 1992. He is a registered broker with twelve US states: Alabama, California, Florida, Minnesota, Nevada, New York, North Carolina, Pennsylvania, South Dakota, Tennessee, Texas and Virginia.

According to his BrokerCheck report, he has received one regulatory sanction and eight customer complaints.