Gene H. Lewis
Professional summary
Gene H Lewis, who also goes by Gene Hart Lewis, Phillip Lewis, Phillipe Lewis, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in Hazlet, New Jersey.
Gene is registered as a RR (Registered Representative) and started their career in finance in 1988. Gene has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gene H Lewis's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2018 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 12 Crown Plaza Suite 201, Hazlet, NJ 07730Office #2: 40 Wall Street 39th Floor, New York, NY 10005October 3, 2016 - September 13, 2018
ALTERNATIVE EXECUTION GROUP
July 5, 2005 - March 8, 2016
BILTMORE INTERNATIONAL CORPORATION
January 27, 2003 - July 5, 2005
HFP CAPITAL MARKETS LLC
October 27, 2000 - January 28, 2003
WM. V. FRANKEL & CO., INCORPORATED
April 11, 1997 - October 26, 2000
SHARPE CAPITAL, INC.
July 26, 1995 - May 21, 1997
SOUTH BEACH SECURITIES, INC.
August 30, 1994 - September 21, 1994
VISION INVESTMENT GROUP, INC.
October 22, 1993 - August 24, 1994
BARRON CHASE SECURITIES, INC.
July 1, 1991 - November 3, 1993
ACAP FINANCIAL INC.
March 1, 1989 - July 1, 1991
ALLIANCE SECURITIES CORPORATION
October 19, 1988 - December 20, 1988
DILLON SECURITIES, 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
(7/22/2024)
(9/12/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/22/1999
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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