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RL

Roy L. Lawson

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CRD#: 816101
RL

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.

Roy Lee Lawson was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 1975. Roy had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 13, 1990 - June 6, 1990

L.M. DREW & ASSOCIATES

BD
CRD#: 16368
Past

August 12, 1988 - January 20, 1990

ANDERSON, BRYANT & CO.

BD
CRD#: 13185
Past

May 30, 1984 - January 12, 1990

FITZGERALD, DEARMAN & ROBERTS, INC.

BD
CRD#: 317
Past

July 19, 1983 - May 1, 1984

SOUTHLAND SECURITIES, INC.

BD
CRD#: 7493
Past

October 12, 1982 - July 5, 1983

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

July 10, 1980 - October 8, 1982

ASI FINANCIAL SERVICES, INC.

BD
CRD#: 8296
Past

December 9, 1975 - October 5, 1980

EDWARD JONES

BD
CRD#: 250

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/1975
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/9/1980
General Securities Principal Examination

Current Firm

LD
L.M. DREW & ASSOCIATES
L.M. DREW & ASSOCIATES | WEST COAST SECURTIES, INC. | WEST COAST SECURITIES, LTD.

CRD#: 16368 / SEC#: , 8-33827

BD
Cancelled by FINRA on 09/13/1991
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 03/26/1990
Firm type
Corporation
Fiscal year end
January
# of Employees

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.

Company Information

L.M. DREW & ASSOCIATES

CRD#: 16368

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