Paul S. Lewis
Professional summary
Paul Sidney Lewis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Paul is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Paul had worked at 7 firms, which includes CHASE INVESTMENT SERVICES CORP., B. RILEY WEALTH MANAGEMENT, AMERIPRISE FINANCIAL SERVICES LLC, AMERIPRISE ADVISOR SERVICES INC., CHOREO LLC, LEHMAN BROTHERS INC., VOYA FINANCIAL ADVISORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2009 - September 21, 2011
CHASE INVESTMENT SERVICES CORP.
December 23, 2009 - September 21, 2011
CHASE INVESTMENT SERVICES CORP.
April 13, 2009 - December 23, 2009
B. RILEY WEALTH MANAGEMENT
April 13, 2009 - December 23, 2009
B. RILEY WEALTH MANAGEMENT
March 20, 2008 - April 3, 2009
CHASE INVESTMENT SERVICES CORP.
March 20, 2008 - April 3, 2009
CHASE INVESTMENT SERVICES CORP.
March 31, 2006 - March 26, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
March 31, 2006 - March 26, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
June 27, 2003 - April 5, 2006
AMERIPRISE ADVISOR SERVICES, INC.
October 1, 2002 - July 9, 2003
CHOREO, LLC
February 20, 1987 - April 5, 2006
AMERIPRISE ADVISOR SERVICES, INC.
July 24, 1985 - February 18, 1987
LEHMAN BROTHERS INC.
March 28, 1983 - October 4, 1985
VOYA FINANCIAL ADVISORS, INC.
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 8
Date: 2/14/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
Red Flags
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