Tom 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.
Tom Lawson, CFP®, who also goes by C. T Lawson, C.thomas Thomas Lawson, C.thomas. Thomas Lawson, Charles T Lawson, Charles Thomas Lawson, Tex Lawson, Tom Lawson, was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1993. Tom had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 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
Start date: 2014
Experience
July 14, 2021 - September 11, 2025
CLIENT FIRST CAPITAL, LLC
May 26, 2020 - July 12, 2021
CHARLES SCHWAB & CO., INC.
May 23, 2020 - July 12, 2021
CHARLES SCHWAB & CO., INC.
January 8, 2018 - May 24, 2020
USAA INVESTMENT SERVICES COMPANY
August 28, 2012 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
August 28, 2012 - May 24, 2020
USAA FINANCIAL ADVISORS, INC.
July 1, 2011 - August 16, 2012
MORGAN STANLEY
June 30, 2011 - August 16, 2012
MORGAN STANLEY
March 3, 2009 - July 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2009 - July 5, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2000 - March 23, 2009
CITIGROUP GLOBAL MARKETS INC.
July 8, 1997 - March 23, 2009
CITIGROUP GLOBAL MARKETS INC.
June 10, 1993 - January 4, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CLIENT FIRST CAPITAL, LLC
CRD#: 300684 / SEC#: 801-114955
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 8
Date: 3/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CLIENT FIRST CAPITAL, LLC
CRD#: 300684 / SEC#: 801-114955
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 265 |
| AUM (Assets Under Management) | $ 236,752,120 |
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.
