Daniel W. Lewis
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.
Daniel William Lewis was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2016 - July 11, 2016
E*TRADE SECURITIES LLC
August 8, 2003 - October 30, 2003
WELLS FARGO INVESTMENTS, LLC
November 1, 2000 - February 15, 2002
MORGAN STANLEY DW INC.
May 28, 1999 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
May 26, 1998 - May 21, 1999
FIDELITY BROKERAGE SERVICES LLC
December 5, 1997 - April 27, 1998
MORGAN STANLEY DEAN WITTER ONLINE INC.
May 31, 1991 - December 10, 1997
FIRST SECURITY INVESTOR SERVICES, INC.
November 19, 1987 - June 10, 1991
CITIGROUP GLOBAL MARKETS INC.
April 3, 1987 - November 24, 1987
KOBER FINANCIAL CORP.
January 2, 1987 - March 27, 1987
FITZGERALD, DEARMAN & ROBERTS, INC.
January 20, 1986 - January 2, 1987
EQUITY-ONE CORPORATION
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: 12/12/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
E*TRADE SECURITIES LLC
CRD#: 29106 / SEC#: , 8-44112
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 2996942 |
| FINN, JED | MANAGER | 5658048 |
| GREANEY, BRIAN JOSEPH | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 3274607 |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER | 4928947 |
| HENNESSY, MICHAEL S | MANAGER | 1988660 |
| JANOVER, JAMES T | MANAGER | 2818307 |
| TURNER, CHAD EDWARD | PRESIDENT AND CHIEF EXECUTIVE OFFICER,MANAGER | 6009808 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 139 |
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.
