Olu T. Lawal
Professional summary
Olu T Lawal was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Olu is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Olu had worked at 13 firms, which includes CITI DISTRIBUTION SERVICES INC., FORESIDE INVESTMENT SERVICES LLC, HEARTLAND INVESTOR SERVICES LLC, STI CLASSIC FUND SERVICES INC, BD COMPLIANCE SOLUTIONS LLC, FORESIDE DISTRIBUTION SERVICES L.P., PROFUNDS DISTRIBUTORS INC., NEW COVENANT FUNDS DISTRIBUTOR INC., EVERGREEN DISTRIBUTOR INC., JONES BYRD & ATTKISSON INC., VICTORY CAPITAL SERVICES INC., BISYS SHELF B/D (1) INC., FTFD FUND DISTRIBUTOR INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2000 - May 14, 2002
CITI DISTRIBUTION SERVICES, INC.
January 31, 2000 - May 14, 2002
FORESIDE INVESTMENT SERVICES, LLC
January 31, 2000 - May 14, 2002
HEARTLAND INVESTOR SERVICES, LLC
January 31, 2000 - May 14, 2002
STI CLASSIC FUND SERVICES, INC
January 31, 2000 - May 14, 2002
BD COMPLIANCE SOLUTIONS, LLC
January 31, 2000 - May 14, 2002
FORESIDE DISTRIBUTION SERVICES, L.P.
January 31, 2000 - May 15, 2002
PROFUNDS DISTRIBUTORS, INC.
January 31, 2000 - May 15, 2002
NEW COVENANT FUNDS DISTRIBUTOR, INC.
January 31, 2000 - May 15, 2002
EVERGREEN DISTRIBUTOR, INC.
January 31, 2000 - May 15, 2002
JONES, BYRD, & ATTKISSON, INC.
January 31, 2000 - June 13, 2002
VICTORY CAPITAL SERVICES, INC.
January 31, 2000 - June 13, 2002
BISYS SHELF B/D (1), INC.
January 31, 2000 - June 13, 2002
FTFD FUND DISTRIBUTOR, INC.
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 28
Date: 10/7/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CITI DISTRIBUTION SERVICES, INC.
CRD#: 29244 / SEC#: , 8-44170
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITI FUND SERVICES, INC. | DIRECT OWNER | |
| DEAN, MARTIN ROBERT | PRESIDENT/DIRECTOR | 2500364 |
| DONAHOE, MICHAEL WILLIAM | CHIEF COMPLIANCE OFFICER | 2577709 |
| NADDAFF, FREDERICK J | DIRECTOR | 4579549 |
| PIKE, JAMES EDWARD | FIN-OP | 2826659 |
| TREFF, BRUCE | SECRETARY | 1933187 |
| WAITE, LEE ROBERT | DIRECTOR | 1190452 |
| WALLACE, ROBERT PETER | DIRECTOR | 4518922 |
Disclosures
| Regulatory Event | 1 |
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