Ralph 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.
Ralph Davies Lewis was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1994. Ralph had worked at 10 firms and has passed the Series 63 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
June 6, 2011 - September 9, 2013
AURUS ADVISORS, INC.
September 17, 2004 - January 10, 2009
BLACK CLOUD CAPITAL, LLC
August 7, 2003 - February 3, 2009
PRESIDIO CAPITAL ADVISORS, LLC
January 10, 2003 - August 5, 2003
MOORS & CABOT, INC.
March 26, 2002 - January 10, 2003
MERRIMAN CAPITAL, INC.
May 26, 2000 - March 28, 2002
H.C.WAINWRIGHT & CO., LLC
August 6, 1998 - May 18, 2000
WELLS FARGO SECURITIES, LLC
September 19, 1997 - August 4, 1998
ROTH CAPITAL PARTNERS, LLC
April 1, 1996 - September 11, 1997
MCLAUGHLIN CAPITAL MARKETS, INC.
October 10, 1994 - April 9, 1996
CAPBAY FINANCIAL SERVICES
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
AURUS ADVISORS, INC.
CRD#: 128096 / SEC#: , 8-66089
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUGUSTUS, RICHARD JOHN | PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER, CFO | |
| RUSSO, JOSEPH DANIEL | VICE PRESIDENT | |
| COLLINS, ELIZABETH SARAH | FINOP | 4714831 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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