Van R. Lewis
Professional summary
Van Roberson Lewis III was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Van is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Van had worked at 7 firms, which includes INVESTSMART INC., SUNPOINT SECURITIES INC., LPL FINANCIAL LLC, LINSCO FINANCIAL GROUP INC., LINCOLN INVESTMENT, BRADSTREET CAPITAL INC., F.D. ROBERTS SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1996 - September 4, 1997
INVESTSMART, INC.
February 2, 1990 - November 19, 1999
SUNPOINT SECURITIES, INC.
December 16, 1989 - February 14, 1990
LPL FINANCIAL LLC
August 18, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
January 4, 1988 - October 26, 1988
LINCOLN INVESTMENT
June 3, 1987 - October 28, 1987
BRADSTREET CAPITAL, INC.
October 8, 1986 - February 27, 1987
F.D. ROBERTS SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 28
Date: 8/25/1993
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
INVESTSMART, INC.
CRD#: 15264 / SEC#: , 8-31919
Contact information
Documents
Red Flags
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