Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 16, 2018 indicate that Pennsylvania-based Stifel Nicolaus & Company broker/adviser Lawrence Delhagen has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Delhagen (CRD# 2779312).
Lawrence Delhagen has spent 21 years in the securities industry and has been registered with Stifel Nicolaus & Company in Center Valley, Pennsylvania since 2007. Previous registrations include Ryan Beck & Company in Allentown, Pennsylvania (2002-2007); Gruntal & Company in New York, New York (1996-2002); and WMA Securities in Duluth, Georgia (1996). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 1, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 23, 1996; and Series 7 (General Securities Representative Examination), which he obtained on August 21, 1996. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Florida, Maryland, Massachusetts, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Virginia, and Wisconsin. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.