Ronald 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.
Ronald David Lewis, who also goes by Dave Lewis, David Lewis, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1994. Ronald had worked at 5 firms and has passed the Series 63, Series 22TO, SIE and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2019 - January 10, 2020
REEF SECURITIES, INC.
April 7, 2015 - May 20, 2015
NOBLES & RICHARDS, INC.
January 23, 2014 - October 7, 2014
REEF SECURITIES, INC.
March 22, 2012 - January 20, 2014
TEXAS E&P PARTNERS, INC.
July 6, 1998 - November 30, 1998
L.T.L. FINANCIAL INC.
March 30, 1994 - July 17, 1995
TEXAKOMA FINANCIAL, 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
Series 22TO
Date: 2/15/2019
Direct Participation Programs Representative ExaminationCurrent Firm
REEF SECURITIES, INC.
CRD#: 31951 / SEC#: , 8-45583
Contact information
FINRA licenses (32 States and Territories)
Disclosures
| Regulatory Event | 8 |
| 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.
