William M. Lewis
Professional summary
William Markham Lewis, who also goes by Mark Lewis, is a registered financial professional currently at MORETON CAPITAL MARKETS, LLC located in Los Angeles, California.
William is registered as a RR (Registered Representative) and started their career in finance in 1989. William has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Markham Lewis's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2020 - Present
MORETON CAPITAL MARKETS, LLC
Office #1: 633 West 5th Street 26th Floor, Los Angeles, CA, 90071July 1, 2013 - April 17, 2018
MUTUAL ADVISORS, LLC
October 18, 2011 - July 9, 2013
MUTUAL SECURITIES, INC.
September 27, 2011 - April 17, 2020
MUTUAL SECURITIES, INC.
September 14, 2004 - July 5, 2006
BROOKSTREET SECURITIES CORPORATION
July 1, 2003 - September 14, 2004
FINACORP SECURITIES
June 26, 2001 - September 14, 2004
FINACORP SECURITIES
October 13, 1998 - January 5, 2001
J.P. MORGAN SECURITIES LLC
April 7, 1997 - October 23, 1998
UBS FINANCIAL SERVICES INC.
August 26, 1996 - March 24, 1997
AMUNI FINANCIAL, INC.
May 15, 1992 - February 1, 1996
UBS FINANCIAL SERVICES INC.
January 30, 1989 - June 1, 1992
LEHMAN BROTHERS 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
(2/6/2023)
(4/28/2020)
(4/17/2020)
(1/26/2023)
(6/9/2020)
(9/20/2021)
(11/30/2022)
(8/25/2020)
(4/17/2020)
(6/10/2020)
(5/22/2020)
(12/14/2021)
(5/22/2020)
(4/17/2020)
(4/17/2020)
(4/17/2020)
(4/17/2020)
(4/17/2020)
(4/25/2020)
(4/20/2020)
(4/21/2020)
(4/17/2020)
(4/17/2020)
(4/29/2020)
Exams
FINRA
Current Firm
MORETON CAPITAL MARKETS, LLC
CRD#: 132643 / SEC#: , 8-66620
Contact information
FINRA licenses (39 States and Territories)
Red Flags
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