Stuart N. Levin
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.
Stuart Neil Levin, who also goes by Stu Levin, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1983. Stuart had worked at 10 firms and has passed the Series 63, Series 7, Series 22, Series 27, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 1989 - April 17, 1989
DUNHILL, LORD & COMPANY
June 23, 1988 - August 9, 1988
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
June 8, 1988 - August 9, 1988
MARCUS, STOWELL & BEYE, INC.
March 14, 1988 - June 17, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
October 19, 1987 - January 26, 1988
MARGARETTEN SECURITIES CORPORATION
January 20, 1987 - October 29, 1987
PLANTATION INVESTMENTS, INC.
March 7, 1986 - October 2, 1986
CONCORD ASSETS SECURITIES, INC.
January 20, 1986 - March 11, 1986
SOUTHMARK FINANCIAL SERVICES, INC.
October 8, 1985 - October 23, 1985
SLATER FINANCIAL CORPORATION
October 19, 1984 - September 9, 1985
WACKS & CO., INC.
October 14, 1983 - February 23, 1984
CONCORD ASSETS SECURITIES, 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
Current Firm
DUNHILL, LORD & COMPANY
CRD#: 16948 / SEC#: , 8-34801
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
