Jeffrey A. Lebowitz
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.
Jeffrey Aaron Lebowitz was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2020 - November 9, 2022
PURSHE KAPLAN STERLING INVESTMENTS
October 19, 2006 - July 15, 2020
BROADSTONE SECURITIES
April 24, 2001 - October 19, 2006
GREGORY J. SCHWARTZ & CO., INC.
April 30, 1998 - May 25, 2000
NEW ENGLAND SECURITIES
January 2, 1998 - March 31, 1998
CADARET, GRANT & CO., INC.
August 19, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
April 6, 1988 - August 15, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 13, 1984 - April 19, 1988
GREGORY J. SCHWARTZ & CO., INC.
January 7, 1982 - February 15, 1984
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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