Lawrence Joseph Mcgovern

CRD 1000696 · Charles Schwab & Co., Inc. · Phoenix, AZ

IA RegisteredBroker

Also appears in the source record as: Alias Name Given No; Rr Name Fiven No

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): SIESeries 7Series 6Series 10Series 9Series 8Series 24Series 26Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (10)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Phoenix, AZ · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Breezy Point, NY · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Phoenix, AZ · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Breezy Point, NY · IA capacity

start not retrieved → present
Investment Professionals, Inc.
Roslyn Heights, NY · BC capacity

Aug 12, 2010 → Aug 23, 2013
Hsbc Securities (USA) Inc.
West Babylon, NY · IA capacity

Jan 29, 2008 → Mar 16, 2010
Hsbc Securities (USA) Inc.
West Babylon, NY · BC capacity

Jan 28, 2008 → Mar 16, 2010
Chase Investment Services Corp.
Islip, NY · IA capacity

Apr 25, 2005 → Dec 21, 2007
Chase Investment Services Corp.
Islip, NY · BC capacity

Nov 7, 2003 → Dec 21, 2007
The Dreyfus Service Corporation
New York, NY · BC capacity

Jan 26, 1983 → Nov 21, 1995

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1000696 ↗ FINRA BrokerCheck record for CRD 1000696 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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