Albert H. Ewing
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.
Albert Hugh Ewing III, who also goes by Albert Hugh Ewing, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1973. Albert had worked at 3 firms and has passed the SIE, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 1993 - September 16, 2015
EWING BEMISS
February 6, 1979 - November 4, 1992
GALLEHER & COMPANY, INC.
January 23, 1973 - February 11, 1979
FIRST UNION CAPITAL MARKETS CORP.
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
Series 1
Date: 1/18/1973
Registered Representative ExaminationF04
Date: 12/20/1979
Financial Principal ExaminationSeries 40
Date: 8/4/1974
Registered Principal ExaminationCurrent Firm
EWING BEMISS
CRD#: 32214 / SEC#: , 8-45763
Contact information
Documents
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.
