Steven H. 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.
Steven Harold Lewis was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 8 firms and has passed the Series 65, 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
April 21, 2016 - March 2, 2018
E*TRADE SECURITIES LLC
December 23, 2014 - March 31, 2016
VALIC FINANCIAL ADVISORS, INC.
December 23, 2014 - March 31, 2016
VALIC FINANCIAL ADVISORS, INC.
July 25, 2013 - October 29, 2014
WADDELL & REED
July 11, 2013 - October 29, 2014
WADDELL & REED
June 1, 1998 - April 27, 2012
SEB SECURITIES, INC.
July 14, 1997 - May 21, 1998
HANDELSBANKEN MARKETS SECURITIES, INC.
April 15, 1996 - July 9, 1997
AROS SECURITIES INC.
September 8, 1993 - January 23, 1996
SCHRODER & CO. INC.
January 6, 1992 - February 8, 1993
MCINTOSH & COMPANY, 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
E*TRADE SECURITIES LLC
CRD#: 29106 / SEC#: , 8-44112
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 2996942 |
| FINN, JED | MANAGER | 5658048 |
| GREANEY, BRIAN JOSEPH | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 3274607 |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER | 4928947 |
| HENNESSY, MICHAEL S | MANAGER | 1988660 |
| JANOVER, JAMES T | MANAGER | 2818307 |
| TURNER, CHAD EDWARD | PRESIDENT AND CHIEF EXECUTIVE OFFICER,MANAGER | 6009808 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 139 |
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.
