Lawrence John Ganim

Current Employers

Employment History

• 06/1985 → Present
  Ganim Group, Inc.
  Shelton, CT
• 04/2016 → 07/2017
  Kestra Advisory Services, Inc
  Austin, TX
• 09/2016 → Present
  Gfs Wealth Management Advisors Inc. Dba Ganim Financial
  Shelton, CT
• 07/2000 → Present
  Kestra Investment Services, Llc
  Shelton, CT
• 05/2023 → Present
  Kestra Advisory Services, Llc
  Shelton, CT

Previous Registrations

• 2016-04-18 → 2017-07-13
  Kestra Advisory Services, Llc
  Bridgeport, CT

Other Businesses

Name: Coastline Holdings Group,LLC Investment Related: No Address: 2 Enterprise Drive Suite 305 Shelton CT 06484 Nat of Business: Other Other/None of the Above Holding company Title: 1099 Employee Start Date: 12/28/2020 Hrs/mth: 0% - 10% (0 - 16 hrs) Hrs/mth during trading hours: 31% - 40% (43 - 56 hours) Duties: Sales Name: Ganim Insurance Consultants, Inc. Investment Related: Yes Address: 2 Enterprise Drive, Suite 305 Shelton CT 06484 Nat of Business: Insurance Title: President Start Date: 1/1/2019 Hrs/mth: 11% - 20% (17 - 32 hrs) Hrs/mth during trading hrs: 0% - 10% (0 - 14 hrs) Duties: Sales and Management Name: Ganim Financial, Inc dba Ganim Financial Investment Related: No Address: 2429 North Avenue Bridgeport CT 06604 Nat of Business: Other Other/None of the Above Holding Company all activities take place within the underlying companies and all common bills and payroll will be through Ganim Management, Inc. Title: President/CEO and sole owner Start Date: 1/1/2019 Hrs/mth: 31% - 40% (49 - 64 hrs) Hrs/mth during trading hrs: 11% - 20% (15 - 28 hrs) Duties: overall management of the business and underlying businesses Name: Ganim Financial Investment Related: No Address: 2429 North Avenue Bridgeport CT 06604 Nat of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Consulting; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Title: President/CEO and sole shareholder Start Date: 8/17/2015 Hrs/mth: 51% - 60% (81 - 96 hours) Hrs/mth during trading hours: 31% - 40% (43 - 56 hrs) Duties: Sales and management Name: Lawrence Ganim Investment Related: No Address: 45 Ironwood Road Trumbull CT 06611 Nat of Business: will promote the book online and with business owners Title: author Start Date: 9/12/2017 Hrs/mth: 0% - 10% (0 - 16 hrs) Hrs/mth during trading hrs: 0% - 10% (0 - 14 hrs) Duties: none Name: GFS Wealth Management Advisors, Inc. Investment Related: Yes Address: 2429 North Ave Bridgeport CT 06604 Nat of Business: Investment Advisory services through an independent outside RIA Title: President Start Date: 12/1/2016 Hrs/mth: 51% - 60% (81 - 96 hrs) Hrs/mth during trading hours: 41% - 50% (57 - 70 hrs) Duties: Management and investment advice and financial planning Name: Ganim Brothers Realty, LLC Investment Related: No Address: 2429 North Avenue Bridgeport CT 06604 Nature of Business: Real Estate Title: Owner Start Date: 1/1/1991 Hrs/mth: 11% - 20% (17 - 32 hours) Hrs/mth during trading hrs: 0% - 10% (0 - 14 hrs) Duties: Manage the properties GANIM ADVISORS, LLC POSITION: Member NATURE: Created to recieve 1099 income distributions INVESTMENT RELATED: No NUMBER OF HRS: 1 SECURITIES TRADING HOURS: 4 START DATE: 12/20/2021 ADDRESS: 6469 Pembroke Way, Naples FL 34113, United States DESCRIPTION: Sole member, tax reporting etc. Name: RIDGEBACK GROUP, LLC POSI: Member NOB: Insurance INV REL: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 20 START DATE: 10/23/2023 ADDRESS: 1 Raymond Rd Ste 231, West Hartford CT 06107 DESC: Will utilize back office services in the sale and servicing of life insurance and related products. This is similar to my association with Lion Street. Name: GANIM WEALTH POSITION: President/CEO/Ameritas NATURE: Consulting INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2026 ADDRESS: 100 Beard Sawmill Road, Suite 565, Shelton CT 06484, United States DESCRIPTION: Consulting, Counsel, client interactions, generating business for my son, part of Ganim Financials overall business succession planning.

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-03-08
• S65 Uniform Investment Adviser Law Examination
  1998-01-12

Other Names

• Larry Ganim