Francis J. Lawlor
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.
Francis J Lawlor, who also goes by Frank Lawlor, was a registered financial advisor .
Francis is a previously registered financial advisor and started their career in finance in 1979. Francis had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2007 - July 11, 2007
AMERIPRISE ADVISOR SERVICES, INC.
June 29, 2007 - July 11, 2007
AMERIPRISE ADVISOR SERVICES, INC.
June 5, 2007 - June 14, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 5, 2007 - June 14, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 15, 2002 - June 5, 2007
RYAN BECK & CO.
April 29, 2002 - June 5, 2007
RYAN BECK & CO.
November 17, 1997 - May 17, 2002
GRUNTAL & CO., L.L.C.
March 22, 1996 - December 4, 1997
ADVEST, INC.
March 2, 1993 - September 5, 1995
LEGG MASON WOOD WALKER, INCORPORATED
July 26, 1988 - May 26, 1993
PRUDENTIAL EQUITY GROUP, LLC
February 22, 1982 - August 5, 1988
TUCKER ANTHONY INCORPORATED
February 19, 1980 - March 11, 1982
UBS FINANCIAL SERVICES INC.
July 27, 1979 - February 25, 1980
MOSELEY SECURITIES CORPORATION
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 15
Date: 3/25/1985
Foreign Currency Options ExaminationSeries 8
Date: 6/3/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERIPRISE ADVISOR SERVICES, INC.
CRD#: 5979 / SEC#: , 8-16752
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING CORPORATION | SHAREHOLDER | |
| ANDREW, DAVID CRESWELL | CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT | 2984773 |
| CLIFFORD, TIMOTHY JOHN | VP, ENTERPRISE SCALE & TAX PARTNERING | 1061464 |
| CRACCHIOLO, JAMES MICHAEL | DIRECTOR | 4251944 |
| DOYLE, DAVID TIMOTHY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2552281 |
| FILDES, LISA SUE | SECRETARY | 1596975 |
| FROUDE, DONALD E | PRESIDENT, CEO, DIRECTOR | 1002120 |
| GESCHKE, DAVID EDWARD | SVP, CHIEF OPERATING OFFICER, DIVISIONAL DIRECTOR, DIRECTOR | 1618774 |
| MCASKIN, DAN MICHAEL | VICE PRESIDENT, DIRECTOR OF OPERATIONS, DIRECTOR | 1099566 |
| O'CONNELL, PATRICK HUGH | SVP, DIVISIONAL DIRECTOR | 2246285 |
| SCHERMAN, JEFFREY JOSEPH | CFO | 4338820 |
| SMITH, ERNEST ROBERT | VICE PRESIDENT | 2362379 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
| TOWNSEND, MICHAEL WILLIAM | VP, DIVISIONAL DIRECTOR | 2244230 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 165 |
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.
