Sean Frederick Lawton
Professional Summary
Sean Frederick Lawton, who also goes by Sean F Lawton, was a registered financial advisor. Sean was a previously registered financial professional and started their career in finance 1992 - 2023. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sean F Lawton
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
KMHT SECURITIES, INC | WINWARD CAPITAL, INC. | WINDWARD CAPITAL, INC. | WINDWARD CAPITAL INC. | LEGACYTEXAS BROKER/DEALER, INC.
Contact Information
Established
Delaware since 02/13/2023Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jul 2015About the Series 79 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Feb 1998Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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