Tony K. Lew
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.
Tony Kai Lew, who also goes by Tony K Lew, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1987. Tony had worked at 10 firms and has passed the Series 63, Series 55 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
January 2, 2013 - October 4, 2013
IMST DISTRIBUTORS, LLC
February 21, 2012 - December 31, 2012
GRAND DISTRIBUTION SERVICES, LLC
February 23, 2009 - July 29, 2011
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
September 5, 2006 - April 20, 2009
CAZENOVE INCORPORATED
April 15, 2005 - September 1, 2006
KBFG SECURITIES AMERICA INC.
October 8, 2003 - May 11, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
November 11, 1998 - April 22, 2002
SCHONFELD SECURITIES, LLC
July 13, 1995 - January 7, 1998
PEREGRINE BROKERAGE INC.
August 17, 1990 - November 22, 1994
KIDDER, PEABODY & CO. INCORPORATED
December 22, 1987 - September 26, 1989
F.N. WOLF & CO., 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 55
Date: 2/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
IMST DISTRIBUTORS, LLC
CRD#: 130745 / SEC#: , 8-66389
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
