Ronald W. Lawten
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.
Ronald Warren Lawten, who also goes by Ron Lawten, Ronald W Lawten, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 11 firms and has passed the Series 63, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2012 - December 18, 2013
INSPEREX LLC
December 17, 2010 - May 10, 2012
BMO CAPITAL MARKETS GKST INC.
March 24, 2009 - September 21, 2010
PIPER SANDLER & CO.
November 14, 2006 - March 26, 2009
SCOTT & STRINGFELLOW, LLC
December 20, 2005 - August 30, 2006
SANDERS MORRIS LLC
May 21, 1998 - January 4, 2006
ADVEST, INC.
August 19, 1996 - June 2, 1998
FIRST CLEARING, LLC
March 31, 1995 - August 20, 1996
MERIDIAN SECURITIES, INC.
September 18, 1992 - January 31, 1995
CIBC WORLD MARKETS CORP.
November 14, 1989 - September 10, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1989 - November 8, 1989
KIDDER, PEABODY & CO. INCORPORATED
December 1, 1983 - August 19, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
INSPEREX LLC
CRD#: 101420 / SEC#: , 8-52081
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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