Joseph C. Lawwill
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.
Joseph Charles Lawwill, who also goes by Joe Lawwill, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2014 - April 4, 2016
FALCON SQUARE CAPITAL, LLC
November 3, 2011 - October 9, 2013
CROWELL, WEEDON & CO.
October 16, 1996 - October 20, 2011
STONE & YOUNGBERG LLC
January 12, 1996 - July 11, 1996
MILLER TABAK HIRSCH & CO.
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 55
Date: 12/13/2006
Limited Representative-Equity Trader ExamCurrent Firm
FALCON SQUARE CAPITAL, LLC
CRD#: 165225 / SEC#: , 8-69147
Contact information
FINRA licenses (16 States and Territories)
Documents
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.
