Robert A. Lawton

CATOOSA FUND MANAGEMENT LLC

Coarsegold, CA

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CRD#: 2122905

Professional summary

Robert Andrew Lawton, who also goes by Rob Lawton, is a registered financial advisor currently at CATOOSA FUND MANAGEMENT LLC located in Coarsegold, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Robert has worked at 6 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob Lawton

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.

IN ADDITION TO CATOOSA FUND MANAGEMENT LLC, I AM CURRENTLY INVOLVED WITH SOURCE CAPITAL GROUP, INC. ("SCG"), AN INVESTMENT RELATED BUSINESS, WHICH IS A REGISTERED BROKER-DEALER. THE BUSINESS ADDRESS IS 278 POST ROAD WEST, WESTPORT, CT 06880. I AM A GENERAL SECURITIES REPRESENTATIVE FOR SCG, A JOB THAT I STARTED IN MAY 2002. I CURRENTLY WORK APPROXIMATELY 100 HOURS A MONTH, AVERAGING 5 HOURS PER TRADING DAY, MONDAY THROUGH FRIDAY. AS A GENERAL SECURITIES REPRESENTATIVE FOR SCG, I SPEND 100% OF MY TIME MANAGING INVESTMENTS FOR ONE CLIENT, CATOOSA FUND LP, INCLUDING RESEARCH AND TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Andrew Lawton'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

February 5, 2018 - Present

CATOOSA FUND MANAGEMENT LLC

RIA

CRD#: 153369

Coarsegold, CA

Past

January 19, 2017 - December 31, 2017

CATOOSA FUND MANAGEMENT LLC

RIA

CRD#: 153369

COARSEGOLD, CA

Past

August 5, 2010 - December 31, 2016

CATOOSA FUND MANAGEMENT LLC

RIA

CRD#: 153369

WOODLAND HILLS, CA

Past

November 3, 2008 - July 22, 2011

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WOODLAND HILLS, CA

Past

May 22, 2002 - June 1, 2007

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

October 24, 2001 - June 17, 2002

THE THORNWATER COMPANY, L.P.

CRD#: 36195

NEW YORK, NY

Past

October 2, 2000 - October 30, 2000

SPENCER CLARKE LLC

CRD#: 41316

NORTH MIAMI, FL

Past

January 20, 1997 - October 27, 2000

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

February 1, 1996 - December 9, 1996

FAIRCHILD FINANCIAL GROUP, INC.

CRD#: 21404

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/5/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/11/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/6/1995

General Securities Representative Examination

Current Firm

CATOOSA FUND MANAGEMENT LLC

CATOOSA FUND MANAGEMENT LLC | CATOOSA FUND MANAGEMENT, LLC

CRD#: 153369 / SEC#:

California

Registered Investment Advisory firm - (2/5/2018 Approved)

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Contact information

Main Address

Coarsegold, CA

Mailing Address

Phone number

(559) 689-3007

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Robert A. Lawton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Andrew Lawton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CATOOSA FUND MANAGEMENT LLC

CATOOSA FUND MANAGEMENT LLC

CATOOSA FUND MANAGEMENT LLC

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL GROUP, INC.

THE THORNWATER COMPANY, L.P.

SPENCER CLARKE LLC

LADENBURG THALMANN & CO. INC.

FAIRCHILD FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/11/1995

Series 7

Date: 12/6/1995

Current Firm

CATOOSA FUND MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

CATOOSA FUND MANAGEMENT LLC

TRUST BUT VERIFY

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