Nicholas T. Lawton

PILOT CAPITAL MANAGEMENT CORP

Plymouth, MN 55447

Some features on this profile are disabled

CRD#: 4760357

Professional summary

Nicholas Thomas Lawton, CLU®, who also goes by Nick Lawton, is a registered financial advisor currently at PILOT CAPITAL MANAGEMENT CORP located in Plymouth, Minnesota.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Nicholas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Lawton

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.

1)SOLIDARITY FINANCIAL,INC, INVESTMENT RELATED, INSURANCE AGENT SINCE 11/2006, SELLING INSURANCE PRODUCTS, 120 HRS/MO, 100 HOURS DURING TRADING. 2)LEGAL SHIELD, NOT INVESTMENT RELATED: DIRECTING PEOPLE TO THIS ORGANIZATION/WEBSITE SO THEY CAN BECOME REGISTERED USERS OF THIS LEGAL SERVICE, 04/2012-PR, 2-5 HOURS/MONTH, 0 HOURS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Thomas Lawton'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®

CLU^®

Chartered Life Underwriter

Experience

Current

January 4, 2020 - Present

PILOT CAPITAL MANAGEMENT CORP

Office #1: 14216 23rd Ave. N., Plymouth, MN 55447

RIA

CRD#: 107684

Plymouth, MN

Past

August 13, 2012 - December 31, 2016

MWA FINANCIAL SERVICES INC.

CRD#: 112630

PLYMOUTH, MN

Past

August 30, 2010 - August 31, 2012

CATHOLIC FINANCIAL SERVICES CORPORATION

CRD#: 37185

MILWAUKEE, WI

Past

September 2, 2008 - July 6, 2010

WORKMAN SECURITIES CORPORATION

CRD#: 31898

MINNETONKA, MN

Past

March 2, 2004 - November 30, 2006

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

ELLSWORTH, WI

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(1/4/2020)

IAR

Wisconsin
(6/25/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/11/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/1/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PILOT CAPITAL MANAGEMENT CORP

CRD#: 107684 / SEC#: 801-32154

RIA

Registered Investment Advisory firm - (6/11/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/26/2010 Approved)

Texas

Registered Investment Advisory firm - (8/26/2021 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (6/25/2020 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Saint Paul, MN

Mailing Address

Po Box 40171, Saint Paul, MN 55104-5485

Phone number

(612) 337-8080

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 54,129,000

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas T. Lawton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Thomas Lawton's CRS (Customer Relationship Summary).

Certified licenses

Experience

PILOT CAPITAL MANAGEMENT CORP

MWA FINANCIAL SERVICES INC.

CATHOLIC FINANCIAL SERVICES CORPORATION

WORKMAN SECURITIES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/2019

Series 63

Date: 2/26/2004

SIE

Date: 12/31/2016

Series 6

Date: 3/1/2004

Current Firm

PILOT CAPITAL MANAGEMENT CORP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PILOT CAPITAL MANAGEMENT CORP

TRUST BUT VERIFY

Similar Advisors