Adam D. Levy
Professional summary
Adam Drew Levy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adam is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Adam had worked at 6 firms, which includes MILLENNIUM SECURITIES CORP., KENSINGTON WELLS INCORPORATED, LADENBURG THALMANN & CO. INC., STRATTON OAKMONT INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 1997 - June 5, 1997
MILLENNIUM SECURITIES CORP.
October 30, 1992 - December 12, 1996
KENSINGTON WELLS INCORPORATED
May 15, 1992 - September 1, 1992
LADENBURG THALMANN & CO. INC.
April 2, 1990 - May 29, 1992
STRATTON OAKMONT INC.
September 19, 1989 - April 5, 1990
LEHMAN BROTHERS INC.
October 3, 1988 - October 7, 1989
UBS FINANCIAL SERVICES INC.
March 2, 1988 - October 14, 1988
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
MILLENNIUM SECURITIES CORP.
CRD#: 31695 / SEC#: , 8-45519
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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