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JL

Joseph M. Lawless

SENTINEL BROKERS COMPANY
Jupiter, FL 33477
Some features on this profile are disabled
CRD#: 1783307
JL

Professional summary

Joseph Mathew Lawless is a registered financial professional currently at SENTINEL BROKERS COMPANY, INC. located in Jupiter, Florida.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1990. Joseph has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 52TO, Series 79TO, SIE, Series 55, Series 7, Series 14, Series 4, Series 24, Series 27 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Mathew Lawless's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 24, 1996 - Present

SENTINEL BROKERS COMPANY, INC.

Office #1: 102 Xanadu Place, Jupiter, FL 33477
BD
CRD#: 40305
Jupiter, FL
Past

January 14, 1994 - October 22, 1996

HERZOG, HEINE, GEDULD, LLC

BD
CRD#: 2186
NEW YORK, NY
Past

March 26, 1993 - December 21, 1993

EMR SECURITIES, INC.

BD
CRD#: 13418
NEW YORK, NY
Past

May 22, 1990 - March 5, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(7/24/2014)
RR
Massachusetts
(5/4/2023)
RR
Missouri
(2/24/2004)
RR
New York
(8/2/1996)

Exams

State Security Law Exam
RR
Series 63
Date: 2/18/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/19/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/14/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/19/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/1/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/2/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/16/1996
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/6/1996
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SB
SENTINEL BROKERS COMPANY, INC.
LAWLESS, JOSEPH MATHEW | SENTINEL BROKERS COMPANY, INC. | SENTINEL BROKERS COMPANY

CRD#: 40305 / SEC#: , 8-49005

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
102 Xanadu Place, Jupiter, FL 33477
Mailing Address
102 Xanadu Place, Jupiter, FL 33477
Phone number
(561) 406-2242
Established
New York since 01/01/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SENTINEL BROKERS LLCSHAREHOLDER
SED CAPITAL PTE LTDOWNER
LAWLESS, JOSEPH MATHEWCEO, CCO1783307

Disclosures

Regulatory Event1

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.

Company Information

SENTINEL BROKERS COMPANY, INC.

CRD#: 40305Jupiter, FL 33477

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