SL
ChFC
SL
ChFC
Stephen Lawler is a ChFC-designated registered investment advisor, based in Naples, FL, with 42 years of industry experience.
Location
Naples, FL
Get directionsHistory
Regulatory History (6)
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Customer Dispute
July 2023Settled
Customer Dispute
December 2021Settled
Customer Dispute
June 2021Settled
Customer Dispute
January 2021Dismissed
Customer Dispute
May 2020Settled
Financial
January 2020Final
Other Business ActivitiesSells Insurance
Stephen is a part-time variable agent for life insurance and annuity products. He also owns Stephen Lawler and Associates, a business expense management firm, and Lawler Financial, a financial services firm, dedicating about 10-20% of his time to each.
Employment History
Current Registrations
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 8 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 6 mos
Previous Registrations
First Allied Advisory Services, INC.
March 2015 - November 2020 · 5 yrs 8 mos
First Allied Securities, INC.Broker
March 2015 - September 2022 · 7 yrs 6 mos
Lawler Financial Advisory Corporation
November 1997 - December 2021 · 24 yrs 1 mo
Investacorp, INC.Broker
August 1989 - March 2015 · 25 yrs 7 mos
Integrated Resources Equity CorporationBroker
December 1988 - September 1989 · 9 mos
Fsc Securities CorporationBroker
April 1984 - January 1989 · 4 yrs 9 mos
Home Life Equity Sales CORP.Broker
October 1983 - October 1984 · 1 yr
State Registrations9 states
CACOFLILMOOHTNTXWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.