Lewis H. Wirshba
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.
Lewis Howard Wirshba was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1988. Lewis had worked at 4 firms and has passed the SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2006 - October 17, 2008
SWISS AMERICAN SECURITIES INC.
November 3, 2000 - May 19, 2003
PERSHING LLC
September 12, 1990 - January 21, 1992
POPULAR SECURITIES, LLC
August 23, 1988 - October 23, 2018
CREDIT SUISSE SECURITIES (USA) LLC
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
SWISS AMERICAN SECURITIES INC.
CRD#: 7973 / SEC#: , 8-17582
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWISS AMERICAN CORPORATION | OWNER | |
| ANSELMIN, EDWARD FRANCIS | SENIOR VICE PRESIDENT - OPERATIONS | 1366243 |
| BARBALATO, KENNETH R | EXEC. V.P., C.O.O., SECRETARY & DIRECTOR | 809857 |
| DIDONNA, SALVATORE RINO | DIRECTOR | 801128 |
| GELL, CHRISTIAN | DIRECTOR | 4945884 |
| LACHER, ROMEO | DIRECTOR | 5115430 |
| LEVERICH, ROBERT CAMERON JR | VICE PRESIDENT - SALES & TRADING | 1199745 |
| NIELSEN, PETER | VICE PRES. & CFO, FINOP | 1072259 |
| PEPPER, MARK ALAN | SENIOR VICE PRESIDENT - SALES & MARKETING | 3250760 |
| ROBERTS, PLACIDE ROY | CHIEF INFORMATION OFFICER | 1137536 |
| RODRIGUEZ, JORGE JOSE | PRESIDENT, CEO & DIRECTOR | 1670002 |
| TICKLE, HEIDI ANGELIQUE | DIRECTOR, CHIEF COMPLIANCE OFFICER | 2802673 |
| VAYLOYAN, ARTHUR FRIEDRICH JOSEPH | DIRECTOR | 4594755 |
| WIRSHBA, LEWIS HOWARD | DIRECTOR | 1862035 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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