Steven E. 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.
Steven Edward Lewis was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 10 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2018 - July 16, 2019
CHARLES TOWNE SECURITIES, LLC
December 23, 2013 - March 23, 2016
WILLINGDON WEALTH MANAGEMENT LLC
October 10, 2013 - December 6, 2013
CERTUSSECURITIES, INC.
September 30, 2010 - October 21, 2011
PIERPONT CAPITAL ADVISORS LLC
December 3, 2009 - September 7, 2010
RAIT SECURITIES, LLC
July 1, 2003 - October 12, 2009
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
February 24, 1994 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
February 26, 1987 - December 31, 1993
WACHOVIA BROKERAGE SERVICE
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
CHARLES TOWNE SECURITIES, LLC
CRD#: 172278 / SEC#: , 8-69505
Contact information
FINRA licenses (8 States and Territories)
Documents
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.
