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RL

Robert W. Law

SHOT TOWER SECURITIES LLC
Baltimore, MD 21210
Some features on this profile are disabled
CRD#: 5008275
RL

Professional summary

Robert Wayne Law JR, who also goes by Rob Law, Robert Wayne Law Jr., Robert Wayne Law, Robert Law, is a registered financial professional currently at SHOT TOWER SECURITIES LLC located in Baltimore, Maryland.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2008. Robert has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Law | Robert Wayne Law Jr. | Robert Wayne Law | Robert Law

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 Robert Wayne Law JR'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

June 10, 2014 - Present

SHOT TOWER SECURITIES LLC

Office #1: Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210Office #2: Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210
BD
CRD#: 169678
Baltimore, MD
Past

April 9, 2012 - June 19, 2014

SC&H CAPITAL CORPORATION

BD
CRD#: 148291
BALTIMORE, MD
Past

September 8, 2008 - January 4, 2012

SIGNAL HILL CAPITAL GROUP LLC

BD
CRD#: 122782
BALTIMORE, MD

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
California
(7/3/2014)
RR
Maryland
(6/16/2014)
RR
New York
(7/7/2014)
RR
Tennessee
(9/3/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/19/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ST
SHOT TOWER SECURITIES LLC
SHOT TOWER SECURITIES LLC

CRD#: 169678 / SEC#: , 8-69380

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

Main Address
Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210
Mailing Address
Village Of Cross Keys 1 Village Square 5100 Falls Road, Suite 157, Baltimore, MD, 21210
Phone number
(410) 376-7900
Established
Delaware since 09/26/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SHOT TOWER CAPITAL LLCMANAGING MEMBER
DUNN, DAVID ROBERTPRESIDENT, CEO, CCO, EXECUTIVE REP., AML SUPERVISOR3116967
HOPKINS, THOMAS JOHNFINOP1835087
LAW, ROBERT WAYNE JRCOO5008275

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

SHOT TOWER SECURITIES LLC

CRD#: 169678Baltimore, MD 21210

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