Lewis D. Barding
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 Daniel Barding was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1967. Lewis had worked at 10 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 1999 - April 17, 2001
J K R & COMPANY, INC.
March 31, 1999 - August 20, 1999
MUTUAL SERVICE CORPORATION
November 7, 1989 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
August 16, 1984 - November 7, 1989
VALUE EQUITIES CORPORATION
March 19, 1984 - August 15, 1984
BRENTWOOD SECURITIES, INC.
June 8, 1982 - March 2, 1984
J. DAVID SECURITIES, INC.
August 28, 1981 - June 3, 1982
WEDBUSH SECURITIES INC.
September 18, 1973 - August 18, 1981
JEFFERIES EXECUTION SERVICES, INC.
May 4, 1973 - November 15, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
October 31, 1967 - April 29, 1973
DAIN, KALMAN & QUAIL, INCORPORATED
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 1
Date: 7/7/1959
Registered Representative ExaminationSeries 40
Date: 11/17/1973
Registered Principal ExaminationCurrent Firm
J K R & COMPANY, INC.
CRD#: 8040 / SEC#: , 8-24191
Contact information
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 213 |
| AUM (Assets Under Management) | $ 113,298,848 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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