Francis Lawyue
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Francis Lawyue, who also goes by Frank Lawyue, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1985. Francis had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2014 - September 2, 2015
DAWSON JAMES SECURITIES, INC.
May 7, 2013 - January 10, 2014
BRILL SECURITIES, INC.
October 9, 2012 - November 13, 2012
WELLINGTON SHIELDS & CO., LLC
June 14, 2011 - March 14, 2012
BRILL SECURITIES, INC.
March 31, 2011 - June 13, 2011
GLOBAL ARENA CAPITAL CORP
October 4, 2004 - April 21, 2010
BISHOP, ROSEN & CO., INC.
September 4, 2002 - October 4, 2004
PETERSEN INVESTMENTS, INC.
January 28, 1998 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
January 20, 1997 - January 20, 1998
PRIME CHARTER LTD.
September 14, 1992 - January 15, 1997
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1991 - September 11, 1992
UBS FINANCIAL SERVICES INC.
August 29, 1989 - January 1, 1991
ROTAN MOSLE INC.
August 25, 1989 - October 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 17, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
November 19, 1987 - June 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
October 22, 1985 - November 20, 1987
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
