Constance G. Lawton
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.
Constance Grace Lawton was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 1983. Constance had worked at 4 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2008 - July 21, 2014
NUVEEN SECURITIES, LLC
July 30, 1986 - March 5, 2008
J.P. MORGAN SECURITIES LLC
January 15, 1985 - August 4, 1986
UBS FINANCIAL SERVICES INC.
May 26, 1983 - January 28, 1985
ROONEY, PACE INC.
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
Series 8
Date: 12/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
