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ML

Matthew Lewis

NEWOAK CAPITAL MARKETS LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 2409570
ML

Professional summary

Matthew Lewis is a registered financial professional currently at NEWOAK CAPITAL MARKETS LLC located in New York, New York.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 1993. Matthew has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Lewis's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 29, 2014 - Present

NEWOAK CAPITAL MARKETS LLC

Office #1: 3 Columbus Circle 15th Floor, New York, NY, 10019
BD
CRD#: 104063
New York, NY
Past

July 20, 2007 - April 3, 2012

SWISS RE CAPITAL MARKETS CORPORATION

BD
CRD#: 39978
NEW YORK, NY
Past

July 16, 1996 - March 19, 2007

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

November 2, 1993 - May 15, 1996

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/25/2017)
RR
New Jersey
(1/3/2015)
RR
New York
(1/29/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NEWOAK CAPITAL MARKETS LLC
GIORDANO - DELLA CAMERA SECURITIES LLC | NEWOAK CAPITAL MARKETS LLC | J. GIORDANO SECURITIES LLC | J. GIORDANO SECURITIES | J GIORDANO SECURITIES LLC | J GIORDANO SECURITIES GROUP | J GIORDANO SECURITIES | GIORDANO DELLACAMERA SECURITIES LLC

CRD#: 104063 / SEC#: , 8-52532

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle 15th Fl., New York, NY, 10019
Mailing Address
3 Columbus Circle 15th Fl., New York, NY, 10019
Phone number
(212) 209-0850
Established
Delaware since 12/30/1999
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NEWOAK SECURITIES HOLDINGS LLCMEMBER
COHEN, EDWARD BARRYPFO1029283
D'VARI, RONPOO4507652
D'VARI, RONCO-CHIEF COMPLIANCE OFFICER, ROSFP, AMLCO4507652
D'VARI, RONCEO4507652
DALISO, SALVATORE ANTHONYCO-CHIEF COMPLIANCE OFFICER, ROSFP, AMLCO710079

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.

Company Information

NEWOAK CAPITAL MARKETS LLC

CRD#: 104063New York, NY 10019

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