Peter Traugott Lawler
Professional Summary
Peter Traugott Lawler, who also goes by Peter T Lawler, is a registered financial advisor currently at THE CAPROCK GROUP, LLC located in Bluffton, South Carolina. Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Peter has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Peter T Lawler
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
27 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
J AND M COMPANIES INC. | THE CAPROCK GROUP, LLC | THE CAPROCK GROUP, INC. | MCMILLENBUCKLEY, INC. | MCMILLEN AND ASSOCIATES | MCMILLEN & ASSOCIATES, INC.
Contact Information
Main Address
800 West Main Street Suite 1150, Boise, ID 83702Phone Number
(208) 368-9600# of Employees
67SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
436AUM (Assets Under Management)
$12,479,071,631Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2026 | Cover Page | Report |
| 10/17/2025 | Cover Page | Report |
| 01/28/2025 | Cover Page | Report |
| 10/26/2023 | Cover Page | Report |
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
J AND M COMPANIES INC. | THE CAPROCK GROUP, LLC | THE CAPROCK GROUP, INC. | MCMILLENBUCKLEY, INC. | MCMILLEN AND ASSOCIATES | MCMILLEN & ASSOCIATES, INC.
State Registrations and Notice Filings
(5/22/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2004About the Series 9 examSimilar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Peter Traugott Lawler's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
