Sean F. 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.
Sean Frederick Lawton, who also goes by Sean F Lawton, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1992. Sean had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7, Series 24 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 21, 2014 - January 24, 2023
WINDWARD CAPITAL INC.
April 25, 2003 - April 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 30, 1996 - November 6, 2002
TD AMERITRADE, INC.
October 19, 1994 - December 10, 1994
A.J. MICHAELS & CO., LTD.
August 10, 1992 - September 22, 1994
SCHONFELD SECURITIES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 2/11/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WINDWARD CAPITAL INC.
CRD#: 142245 / SEC#: , 8-67445
Contact information
Documents
Red Flags
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