Lawrence Stephen Herold

Current Employers

Herold Advisors, Inc.

711 3Rd Avenue Suite 1802, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-06

NY RA
APPROVED

Since 2021-10-06

Branch Locations

711 3Rd Avenue Suite 1802, New York, NY 10017 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Bernard Herold & Co., Inc.	New York	NY	09/1979	11/2020
Herold & Lantern Investments, Inc.	Melville	NY	11/2020	Present
Herold Advisors, Inc.	New York	NY	12/1980	Present

09/1979 → 11/2020

Bernard Herold & Co., Inc.

New York, NY
11/2020 → Present

Herold & Lantern Investments, Inc.

Melville, NY
12/1980 → Present

Herold Advisors, Inc.

New York, NY

Other Businesses

1) HEROLD ADVISORS, INC. (INVESTMENT RELATED),805 THIRD AVE., NY, NY 10022, INVESTMENT ADVISORS, 40%+ OWNER, PRESIDENT, DIRECTOR, CEO, COO, CCO, CHIEF LEGAL OFFICER, SINCE 12/1980. 20 HRS/MONTH (ALL OF WHICH ARE DURING SECURITIES TRADING HOURS). 2)HEROLD INSURANCE AGENCY, INC. (NON-INVESTMENT RELATED), 805 THIRD AVE., NY, NY 10022. 50% OWNER, CHAIRMAN OF THE BOARD, DIRECTOR SINCE 6/22/87. CHAIRMAN OF THE BOARD AND SECRETARY SINCE 4/12/89. ONE HOUR/MONTH (WHICH IS DURING SECURITIES TRADING HOURS).

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1981-10-16

S63 Uniform Securities Agent State Law Examination

1981-10-16

Designations

View on SEC IAPD