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Shams Ray Lawson

Loop Capital Markets LLC

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About Shams Ray Lawson

Shams Lawson is a financial professional with over 17 years of experience in the industry. Shams is currently registered with Loop Capital Markets LLC in Miami, FL. Prior to joining Loop Capital Markets LLC, Shams has held positions with DREXEL HAMILTON, LLC, CASTLEOAK SECURITIES, LP, STERNE, AGEE & LEACH, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.

Firm Information

Shams Lawson is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

Total Financial Advisors

Services Offered

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.

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transition management services/equity research services

Transition management services/equity research services

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Shams Lawson’s Registration & Firm History

FL

03/16/2016 - Present

Loop Capital Markets LLC (Miami FL)

NY

06/02/2015 - 03/11/2016

DREXEL HAMILTON, LLC (NEW YORK NY)

OH

05/13/2013 - 10/24/2014

CASTLEOAK SECURITIES, LP (CLEVELAND OH)

NY

10/25/2010 - 06/14/2013

STERNE, AGEE & LEACH, INC. (NEW YORK NY)

IL

01/01/2005 - 10/26/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 04/04/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/22/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shams Ray Lawson.
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