Lewis C. Weldon
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.
Lewis Clifton Weldon, who also goes by Kip Weldon Jr, Lewis Clifton Weldon Jr, Lewis Kip Clifton Weldon, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1983. Lewis had worked at 3 firms and has passed the Series 63, Series 7 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
November 11, 2011 - March 18, 2014
DINOSAUR FINANCIAL GROUP, L.L.C
April 27, 1992 - September 28, 2009
MML INVESTORS SERVICES, LLC
May 13, 1983 - April 27, 1992
NEW ENGLAND SECURITIES
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
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
