Lewis P. Jacoby
Professional summary
Lewis Phillip Jacoby IV, who also goes by Lewis Phillip Jacoby, is a registered financial professional currently at SAMI BROKERAGE LLC located in Stamford, Connecticut.
Lewis is registered as a RR (Registered Representative) and started their career in finance in 1984. Lewis has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lewis Phillip Jacoby IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 1995 - Present
SAMI BROKERAGE LLC
Office #1: 2 High Ridge Park, Stamford, CT 06905October 31, 1990 - January 30, 1995
USL SECURITIES CORPORATION
December 21, 1988 - April 17, 1989
YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP)
March 22, 1984 - February 11, 1988
E. F. HUTTON & COMPANY 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
(3/21/1995)
(3/5/2020)
(3/5/2020)
(3/5/2020)
(3/5/2020)
(11/9/2009)
(3/5/2020)
(5/21/2021)
(7/10/2024)
(11/9/2009)
(3/5/2020)
(3/5/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/28/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
SAMI BROKERAGE LLC
CRD#: 18217 / SEC#: 801-undefined, 8-36472
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPECTRUM ASSET MANAGEMENT, INC. | 100% OWNER | |
| BYER, MATTHEW ROSS | CHIEF INFORMATION SECURITY OFFICER | 3120607 |
| HANCZOR, JOSEPH ANDREW | CHIEF COMPLIANCE OFFICER | 5200684 |
| JACOBY, LEWIS PHILLIP IV | HEAD OF TRADING | 1238147 |
| LIEB, MARK ALAN | PRESIDENT | 853490 |
| ORLANDO, JEAN MARIE | FINANCIAL OPERATIONS PRINCIPAL & CHIEF FINANCIAL OFFICER | 1197909 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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