Lewis B. Carlisle
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 Brewer Carlisle was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1983. Lewis had worked at 6 firms and has passed the Series 63, Series 7, Series 4 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
January 15, 2008 - March 22, 2012
NAVIAN CAPITAL SECURITIES LLC
March 31, 2004 - August 8, 2005
FIFTH THIRD SECURITIES, INC.
October 25, 2002 - January 16, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 10, 2001 - July 30, 2002
PNC CAPITAL MARKETS LLC
May 27, 1998 - October 13, 1999
PNC BROKERAGE CORP
July 21, 1983 - May 4, 1993
J.J.B. HILLIARD, W.L. LYONS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NAVIAN CAPITAL SECURITIES LLC
CRD#: 145037 / SEC#: , 8-67695
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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