Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lawler is a financial professional with over 20 years of experience in the financial services industry. Currently, James is registered with General Wellington Capital LLC and is licensed in Connecticut and New York. Prior to joining General Wellington Capital LLC, James was employed at ALT FUND DISTRIBUTORS LLC, SILVER LEAF PARTNERS, LLC, VISION FINANCIAL MARKETS LLC, VISION and WALL STREET ACCESS. James holds the Series 6, 7, 63, 65, SIE, and 6TO licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
01/04/2021 - Present
General Wellington Capital LLC (NEW YORK NY)
NY
03/21/2016 - 02/21/2021
ALT FUND DISTRIBUTORS LLC (NEW YORK NY)
NY
03/26/2010 - 03/30/2016
SILVER LEAF PARTNERS, LLC (NEW YORK NY)
CT
08/10/2009 - 03/01/2010
VISION (STAMFORD CT)
CT
07/14/2009 - 03/01/2010
VISION FINANCIAL MARKETS LLC (STAMFORD CT)
NY
04/10/2006 - 07/14/2009
SILVER LEAF PARTNERS, LLC (NEW YORK NY)
CT
01/20/2006 - 01/23/2006
AMERIMUTUAL FUNDS DISTRIBUTOR, INC. (STAMFORD CT)
NY
10/14/2002 - 09/23/2004
WALL STREET ACCESS (NEW YORK NY)
NY
05/21/2002 - 09/03/2002
BRILL SECURITIES, INC. (NEW YORK NY)
IL
11/29/1999 - 06/01/2000
WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)
NY
12/06/1993 - 03/05/1996
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
12/06/1993 - 03/05/1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NY
09/23/1993 - 12/10/1993
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
BC
Issued 11/09/2009
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/29/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1999
Series 7 - General Securities Representative Examination
BC
Issued 05/23/1996
Series 2 - Non-Member General Securities Examination
BC
Issued 09/22/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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