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Terry L. Lewis

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CRD#: 1757952
TL

Professional summary

Terry Lee Lewis was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Terry is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Terry had worked at 10 firms, which includes CENTEX SECURITIES INCORPORATED, FIRST AMERICAN BILTMORE SECURITIES INC., AMR SECURITIES INC., HOLFORD SECURITIES (U.S.) INC., ALLIANCE SECURITIES CORPORATION, WHITEHALL INVESTMENT SECURITIES LTD., L.M. DREW & ASSOCIATES, FIRM ONE SECURITIES INCORPORATED, U.S. ADVISORS INC., GRAYSTONE NASH INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Terry Lewis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 7, 1993 - January 28, 1999

CENTEX SECURITIES, INCORPORATED

BD
CRD#: 18493
LA JOLLA, CA
Past

August 22, 1991 - May 18, 1993

FIRST AMERICAN BILTMORE SECURITIES, INC.

BD
CRD#: 17585
Past

May 28, 1991 - September 25, 1991

AMR SECURITIES, INC.

BD
CRD#: 23368
Past

December 12, 1990 - June 14, 1991

HOLFORD SECURITIES (U.S.), INC.

BD
CRD#: 25120
Past

December 3, 1990 - December 24, 1990

ALLIANCE SECURITIES CORPORATION

BD
CRD#: 15468
Past

April 16, 1990 - November 5, 1990

WHITEHALL INVESTMENT SECURITIES, LTD.

BD
CRD#: 21312
Past

August 15, 1989 - May 9, 1990

L.M. DREW & ASSOCIATES

BD
CRD#: 16368
Past

May 18, 1989 - August 22, 1989

FIRM ONE SECURITIES, INCORPORATED

BD
CRD#: 13531
Past

January 24, 1989 - May 31, 1989

U.S. ADVISORS, INC.

BD
CRD#: 10721
Past

October 21, 1987 - January 10, 1989

GRAYSTONE NASH, INC.

BD
CRD#: 10635

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/4/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/22/1989
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/10/1988
General Securities Principal Examination

Current Firm

CS
CENTEX SECURITIES, INCORPORATED
CAPITALINE SECURITIES, INC. | PMC GROUP, INC. | PMC GROUP | LA JOLLA SECURITIES CORPORATION | CENTEX SECURITIES, INCORPORATED | CENTEX SECURITIES CORPORATION

CRD#: 18493 / SEC#: , 8-43569

BD
Terminated by SEC on 10/09/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/28/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BIDDICK, BRUCE ALANCHIEF EXECUTIVE OFFICER1124697

Disclosures

Regulatory Event15
Arbitration16

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CENTEX SECURITIES, INCORPORATED

CRD#: 18493

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