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Last Update

2013-01-30T00:00:00.000Z

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Background Information

Employment History

Chief Compliance Officer, Associate General Counsel, Corporate Secretary

RCap Securities Inc

Senior Compliance Officer

Bear Stearns

Investment Management Counsel

Brown Brothers Harriman & Co.

Similar Roles

Smith Barney , Inc.

Affiliations

Lead Advisor To the Executive Management Team
Private Client Services

Web References (2 Total References)


RCap Securities, Inc. : Management Team

www.rcapsecurities.com [cached]

Melissa Lawson Chief Compliance Officer, Associate General Counsel, Corporate Secretary; Registered Series 7, 9, 10, 23 and 63


RCap Securities, Inc. : Melissa Lawson

www.rcapsecurities.com [cached]

Melissa Lawson RCap Securities, Inc. : Melissa Lawson

...
Melissa Lawson Chief Compliance Officer, Associate General Counsel, Corporate Secretary;
...
Ms. Lawson is Chief Compliance Officer, Associate General Counsel, Corporate Secretary. From 2006 until June 2008, she was a Senior Compliance Officer at Bear Stearns where she served as lead advisor to the Private Client Services executive management team on rules and regulations applicable to the retail and advisory business. From 2004 until 2006, Ms. Lawson served as Investment Management Counsel at Brown Brothers Harriman with responsibility for NYSE and 1940 Act compliance and other responsibilities. She also held similar roles at Smith Barney, Galway Capital and Advest.

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