Timothy Lawry
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.
Timothy Lawry, who also goes by Tim Lawry, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1985. Timothy had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2013 - May 1, 2026
AXOS CLEARING LLC
April 8, 2011 - November 30, 2011
WORLD TRADE FINANCIAL CORPORATION
August 18, 1995 - December 31, 2008
SECURITIES AMERICA, INC.
December 21, 1994 - August 22, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 10, 1992 - August 29, 1995
FIRST AFFILIATED SECURITIES
May 7, 1990 - June 12, 1992
UBS FINANCIAL SERVICES INC.
November 21, 1989 - June 20, 1990
TRI-BRADLEY INVESTMENTS
December 16, 1988 - November 20, 1989
ALLIED CAPITAL GROUP, INC.
April 23, 1985 - January 5, 1989
BLINDER, ROBINSON & CO., 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
Red Flags
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