Lewis W. Fogel
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 William Fogel was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1985. Lewis had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 8 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
May 21, 2012 - June 18, 2012
MORGAN KEEGAN & COMPANY, LLC
March 21, 2012 - June 18, 2012
MORGAN KEEGAN & COMPANY, LLC
April 28, 2011 - December 31, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
September 22, 2010 - March 19, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
August 18, 2008 - August 6, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 9, 2008 - August 6, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 9, 2002 - July 31, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 15, 2002 - July 31, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 30, 1992 - May 1, 2002
MORGAN STANLEY DW INC.
June 17, 1992 - July 1, 1992
BILTMORE SECURITIES, INC.
May 29, 1992 - June 18, 1992
J. W. GANT & ASSOCIATES, INC.
September 5, 1989 - May 29, 1992
BILTMORE SECURITIES, INC.
April 11, 1988 - July 27, 1989
MORGAN STANLEY DW INC.
June 20, 1985 - June 7, 1988
UBS FINANCIAL SERVICES 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
Series 8
Date: 5/3/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
