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JL

James E. Lawler

GENERAL WELLINGTON CAPITAL LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2346453
JL

Professional summary

James Edmonds Lawler is a registered financial professional currently at GENERAL WELLINGTON CAPITAL LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 12 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7, Series 2 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Edmonds Lawler'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

January 4, 2021 - Present

GENERAL WELLINGTON CAPITAL LLC

Office #1: 295 Madison Avenue 43rd Floor, New York, NY, 10017
BD
CRD#: 282139
New York, NY
Past

March 21, 2016 - February 21, 2021

ALT FUND DISTRIBUTORS LLC

BD
CRD#: 146547
NEW YORK, NY
Past

March 26, 2010 - March 30, 2016

SILVER LEAF PARTNERS, LLC

BD
CRD#: 126694
NEW YORK, NY
Past

August 10, 2009 - March 1, 2010

VISION BROKERAGE SERVICES, LLC

BD
CRD#: 47927
STAMFORD, CT
Past

July 14, 2009 - March 1, 2010

VISION FINANCIAL MARKETS LLC

BD
CRD#: 142271
STAMFORD, CT
Past

April 10, 2006 - July 14, 2009

SILVER LEAF PARTNERS, LLC

BD
CRD#: 126694
NEW YORK, NY
Past

January 20, 2006 - January 23, 2006

AMERIMUTUAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 47661
STAMFORD, CT
Past

October 14, 2002 - September 23, 2004

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

May 21, 2002 - September 3, 2002

BRILL SECURITIES, INC.

BD
CRD#: 18565
NEW YORK, NY
Past

November 29, 1999 - June 1, 2000

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

December 6, 1993 - March 5, 1996

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

December 6, 1993 - March 5, 1996

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

September 23, 1993 - December 10, 1993

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/4/2021)
RR
New York
(1/4/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/29/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 5/23/1996
Non-Member General Securities Examination
General Industry/Product Exam
RR
Series 6
Date: 9/22/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GW
GENERAL WELLINGTON CAPITAL LLC
GENERAL WELLINGTON CAPITAL LLC

CRD#: 282139 / SEC#: , 8-69705

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
295 Madison Avenue 43rd Floor, New York, NY, 10017
Mailing Address
295 Madison Avenue 43rd Floor, New York, NY, 10017
Phone number
(212) 803-7150
Established
New York since 11/06/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MCLANE, MICHAEL COLINCEO, COO, MD4461016
MEEHAN, KEVIN PATRICKCCO, FINOP4652695

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.

Company Information

GENERAL WELLINGTON CAPITAL LLC

CRD#: 282139New York, NY 10017

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