Sam F. Lewis
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.
Sam Frederick Lewis, who also goes by Sam Lewis, Samuel F Lewis, was a registered financial professional .
Sam is a previously registered financial professional and started their career in finance in 1982. Sam had worked at 17 firms and has passed the Series 63, Series 52TO, Series 72, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 5, Series 3, Series 52, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2024 - January 30, 2025
CORINTHIAN PARTNERS, L.L.C.
April 29, 2024 - October 8, 2024
DINOSAUR FINANCIAL GROUP, L.L.C
May 19, 2021 - August 26, 2022
BA SECURITIES, LLC
May 15, 2019 - December 31, 2020
GREAT POINT CAPITAL LLC
December 12, 2003 - October 6, 2004
FINACORP SECURITIES
May 22, 2002 - September 13, 2017
LPE SECURITIES, LLC
September 15, 1999 - April 3, 2002
NATIONAL SECURITIES CORPORATION
October 20, 1998 - August 25, 1999
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
August 3, 1998 - October 29, 1998
NAVILLUS SECURITIES, INC.
August 28, 1997 - March 3, 1998
BARNETT INVESTMENTS, INC.
October 11, 1994 - August 29, 1997
WILLIAM R. HOUGH & CO.
April 25, 1990 - October 17, 1994
CITIGROUP GLOBAL MARKETS INC.
April 7, 1989 - February 14, 1990
MARCUS, STOWELL & BEYE, INC.
April 7, 1989 - February 14, 1990
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
October 4, 1984 - May 31, 1985
THOMSON MCKINNON SECURITIES INC.
February 10, 1983 - September 30, 1984
E. F. HUTTON & COMPANY INC
January 26, 1982 - January 25, 1983
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 2/19/2002
Limited Representative-Equity Trader ExamSeries 5
Date: 3/12/1985
Interest Rate Options ExaminationCurrent Firm
CORINTHIAN PARTNERS, L.L.C.
CRD#: 38912 / SEC#: , 8-48461
Contact information
FINRA licenses (33 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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