Lewis N. Waltzer
Professional summary
Lewis Neal Waltzer was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lewis is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Lewis had worked at 6 firms, which includes SUNAMERICA SECURITIES INC., SOUTHMARK FINANCIAL SERVICES INC., USLIFE EQUITY SALES CORP., LINSCO FINANCIAL GROUP INC., RADFORD CAPITAL CORPORATION, CARDELL & ASSOCIATES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 1989 - September 4, 1996
SUNAMERICA SECURITIES, INC.
September 14, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
January 29, 1987 - October 5, 1987
USLIFE EQUITY SALES CORP.
January 15, 1987 - August 31, 1987
LINSCO FINANCIAL GROUP, INC.
June 5, 1986 - August 26, 1986
RADFORD CAPITAL CORPORATION
July 26, 1984 - July 15, 1986
CARDELL & ASSOCIATES, 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
Current Firm
SUNAMERICA SECURITIES, INC.
CRD#: 20068 / SEC#: , 8-38083
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | |
| BOURDAMIS, SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES | 1812157 |
| CANNON, JAMES RICHARD | PRESIDENT, CEO, DIRECTOR | 1755987 |
| CAPRIOTTI, JACQUELYN MARIE | VICE PRESIDENT, VISION 2020 | 1575021 |
| CAVANAUGH, MARY LOUISE | DIRECTOR | 1977110 |
| DENBY, SUSANNE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| DORFMAN, KENNETH PAUL | CROP | 2460380 |
| FIELDS, INGER WILSON | FINOP | 1690043 |
| FREEMAN, BRUCE TODD | ASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL | 2451499 |
| GAUGHAN, BRIDGET MARY | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | 2691949 |
| GAUGHAN, BRIDGET MARY | DIRECTOR | 2691949 |
| KUBICA, LISA SUE | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | 1098488 |
| MCREYNOLDS, MICHAEL RONALD | ASSISTANT VICE PRESIDENT, INSURANCE | 816602 |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT, INSURANCE | 2587496 |
| RADFORD, CHRISTOPHER BLAKE | SENIOR VICE PRESIDENT, NATIONAL SALES | 1564302 |
| ROTHSTEIN, STEVEN ELLIOT | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | 1292456 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR | 1292456 |
| SONCHIK, RITA LYNN | VICE PRESIDENT, ACCOUNTING | 1865389 |
| STAUFFER, RALPH OWEN JR | VICE PRESIDENT INFORMATION TECHNOLOGY | 3255670 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 16 |
| Bond | 3 |
Red Flags
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