James M. Lawson
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.
James Michael Lawson, who also goes by Butch Lawson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 2 firms and has passed the Series 63, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1993 - July 29, 1994
FIRSTAR INVESTMENT SERVICES,INC.
August 27, 1985 - January 29, 1992
MORGAN STANLEY DW 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 5
Date: 10/24/1986
Interest Rate Options ExaminationCurrent Firm
FIRSTAR INVESTMENT SERVICES,INC.
CRD#: 14536 / SEC#: , 8-30767
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP MINNESOTA, N.A. | OWNER | |
| DAVIS, RICHARD | DIRECTOR | |
| GUEVARA, CARLOS JOHN | SENIOR VICE PRESIDENT, DIRECTOR OF COMPLIANCE | 1697335 |
| HIDY, RICHARD J. | CHIEF LEGAL OFFICER, SECRETARY | |
| JACOBSMEYER, CAROL JEAN | DIRECTOR | 603832 |
| LAMMERT, MARILYN KAY | ASSISTANT VICE PRESIDENT, SROP, CROP | 1264361 |
| MCCORMACK, DANIEL JOSEPH | INTERIM PRESIDENT | 1808443 |
| SANTIAGO, MARIA ISABEL | SENIOR VICE PRESIDENT, OPERATIONS & BROKER SERVICES | 1275974 |
| SHORT, STEVEN | DIRECTOR | |
| TRUEMAN, DANIEL JOSEPH | FINANCIAL AND OPERATIONS PRINCIPAL | 2912375 |
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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