Orrie L. Tawes
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.
Orrie Lee Tawes III, who also goes by Orrie Lee Tawes, was a registered financial professional .
Orrie is a previously registered financial professional and started their career in finance in 1973. Orrie had worked at 5 firms and has passed the Series 63, SIE, Series 16, Series 1 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 29, 2014 - August 7, 2015
NEWPORT COAST SECURITIES, INC.
May 27, 2004 - July 30, 2014
NORTHEAST SECURITIES, LLC
November 18, 1999 - May 21, 2004
CANACCORD GENUITY SECURITIES LLC
June 12, 1979 - November 17, 1999
CIBC WORLD MARKETS CORP.
January 18, 1973 - June 18, 1979
GOLDMAN SACHS & CO. LLC
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 1
Date: 1/15/1973
Registered Representative ExaminationCurrent Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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