Lonnie T. 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.
Lonnie Thompson Lawson, who also goes by Tommy Lawson III, Tommy Lawson, was a registered financial professional .
Lonnie is a previously registered financial professional and started their career in finance in 1988. Lonnie had worked at 8 firms and has passed the Series 63, Series 7, Series 12, Series 4 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
February 17, 2010 - May 6, 2013
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
July 1, 2003 - May 6, 2013
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 23, 1998 - April 5, 1999
JACKSON SECURITIES LLC
November 6, 1995 - March 4, 1998
JACKSON SECURITIES LLC
June 11, 1992 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
April 7, 1992 - June 18, 1992
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1992 - April 6, 1992
BANC OF AMERICA SECURITIES LLC
September 6, 1988 - January 1, 1992
SOVRAN INVESTMENT 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 12
Date: 8/4/1993
NYSE Branch Manager ExaminationCurrent Firm
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
CRD#: 5958 / SEC#: , 8-16600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO GAMING CAPITAL, LLC. | PARENT | |
| ALTAMURA, VINCENT | SECRETARY | 5794473 |
| DEROCHI, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER | 2072858 |
| HIGHUM, JON ALAN | PRESIDENT | 1848219 |
| MULLINS, TIMOTHY PAUL | DIRECTOR | 1591930 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER | 724703 |
| PRIMAVERA, TODD GERALD | CHIEF OPERATIONS OFFICER | 2416001 |
| WEISS, JONATHAN GEOFFREY | DIRECTOR | 2362764 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
