Scott L. Lawton
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.
Scott Lynn Lawton was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2007 - January 26, 2017
FIDELITY BROKERAGE SERVICES LLC
January 30, 2003 - May 4, 2007
NATIONAL FINANCIAL SERVICES LLC
November 9, 2000 - December 31, 2002
FIDELITY BROKERAGE SERVICES LLC
November 19, 1999 - September 7, 2000
CETERA INVESTMENT SERVICES LLC
January 21, 1998 - November 8, 1999
EDWARD JONES
September 3, 1992 - January 21, 1998
FIDELITY BROKERAGE SERVICES LLC
January 2, 1991 - September 1, 1992
FIDELITY DISTRIBUTORS CORPORATION
January 6, 1987 - December 31, 1990
FIDELITY BROKERAGE SERVICES LLC
September 12, 1986 - December 12, 1986
FIDELITY DISTRIBUTORS CORPORATION
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 8
Date: 8/27/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
Red Flags
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