Brian M. Lawless
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.
Brian Michael Lawless, who also goes by Box Lawless, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1987. Brian had worked at 4 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2008 - May 14, 2015
WHITAKER SECURITIES LLC
February 14, 2003 - April 9, 2008
SEABOARD SECURITIES, INC.
February 15, 2002 - September 4, 2002
ICAP SECURITIES USA LLC
August 20, 1999 - January 25, 2002
ICAP SECURITIES USA LLC
July 25, 1987 - April 28, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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.
