Timothy Lawry
Professional summary
Timothy Lawry, who also goes by Tim Lawry, is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1985. Timothy has 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) - BD
Click below to view Timothy Lawry's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 2, 2013 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118April 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 ExaminationBOX Exchange LLC
Cboe BZX Exchange, Inc.
FINRA
Investors' Exchange LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current 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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Company Information
AXOS CLEARING LLC
CRD#: 117176Omaha, NE 68118TRUST BUT VERIFY
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