Richard D. Lewis
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.
Richard David Lewis, who also goes by Rick Lewis, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2013 - February 4, 2016
J.W. COLE FINANCIAL, INC.
December 16, 2010 - April 11, 2013
LPL FINANCIAL LLC
July 15, 2005 - December 16, 2010
WEDBUSH SECURITIES INC.
March 9, 2002 - July 21, 2005
RBC CAPITAL MARKETS, LLC
November 13, 1998 - March 9, 2002
SUTRO & CO. INCORPORATED
January 26, 1996 - November 19, 1998
A. G. EDWARDS & SONS, INC.
July 31, 1993 - February 20, 1996
CITIGROUP GLOBAL MARKETS INC.
November 20, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
September 4, 1990 - November 30, 1992
WELLS FARGO CLEARING SERVICES, LLC
September 7, 1989 - September 4, 1990
BOETTCHER & COMPANY, INC.
April 6, 1989 - September 19, 1989
RAUSCHER PIERCE REFSNES, INC.
February 14, 1989 - April 13, 1989
MARSHALL DAVIS, 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
Exams
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
