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LM

Lewis Mason

INTE SECURITIES LLC
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 1797652
LM

Professional summary

Lewis Mason is a registered financial professional currently at INTE SECURITIES LLC located in New York, New York.

Lewis is registered as a RR (Registered Representative) and started their career in finance in 1988. Lewis has worked at 11 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Lewis Mason's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 9, 2018 - Present

INTE SECURITIES LLC

Office #1: 42 Broadway, Suite 12-128, New York, NY 10004
BD
CRD#: 47107
NEW YORK, NY
Past

September 26, 2011 - December 26, 2017

TRIPOINT GLOBAL EQUITIES/BANQ(R)

BD
CRD#: 143174
NEW YORK, NY
Past

November 8, 2010 - September 16, 2011

TRIDENT PARTNERS LTD.

BD
CRD#: 41258
SYOSSET, NY
Past

November 19, 2009 - November 4, 2010

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
NEW YORK, NY
Past

August 14, 2006 - November 20, 2009

EQUITY SOURCE PARTNERS, LLC

BD
CRD#: 140227
JERICHO, NY
Past

July 12, 2004 - August 17, 2006

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
JERICHO, NY
Past

September 17, 2002 - June 25, 2004

VANDERBILT SECURITIES, LLC

BD
CRD#: 5953
WOODBURY, NY
Past

February 22, 1997 - September 27, 2002

KSH INVESTMENT GROUP, INC.

BD
CRD#: 41817
GREAT NECK, NY
Past

July 31, 1993 - February 27, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 8, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

September 19, 1989 - May 30, 1990

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 22, 1988 - October 7, 1989

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/9/2022)
RR
Indiana
(5/13/2022)
RR
New York
(1/9/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 4/21/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1988
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IS
INTE SECURITIES LLC
EQUINOX SECURITIES, LLC | TRUMP SECURITIES, LLC | INTE SECURITIES LLC

CRD#: 47107 / SEC#: , 8-51667

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Mailing Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433
Phone number
(212) 897-1694
Established
Florida since 08/14/2018
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPINDEL, ALANMEMBER6141844
SPINDEL, HOWARDMEMBER708042
SPINDEL, JAYMEMBER1839344
STUPAY, MICHAEL ELLIOTMEMBER2287906
STUPAY, SHELLEYMEMBER5570644
OBSBAUM, FREDRIC MICHAELCCO1160811

Disclosures

Regulatory Event1

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.

Company Information

INTE SECURITIES LLC

CRD#: 47107New York, NY 10004

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