Douglas W. 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.
Douglas Warren Lewis was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1996. Douglas had worked at 8 firms and has passed the Series 65, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2010 - February 1, 2013
INVESTMENT ADVISORS CORP
January 7, 2010 - February 1, 2013
BROKER DEALER FINANCIAL SERVICES CORP.
September 29, 2008 - December 2, 2009
WOODBURY FINANCIAL SERVICES, INC.
February 2, 2006 - September 25, 2008
WOODBURY FINANCIAL SERVICES, INC.
February 2, 2006 - December 2, 2009
WOODBURY FINANCIAL SERVICES, INC.
January 15, 2004 - February 11, 2006
NEW ENGLAND SECURITIES
August 19, 2003 - February 11, 2006
NEW ENGLAND SECURITIES
January 10, 2003 - August 4, 2003
WINEBRENNER CAPITAL PARTNERS, LLC
October 5, 2001 - October 17, 2002
PARK AVENUE SECURITIES LLC
March 1, 1996 - July 27, 2001
METROPOLITAN LIFE INSURANCE COMPANY
March 1, 1996 - July 27, 2001
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTMENT ADVISORS CORP
CRD#: 117531 / SEC#: 801-69573
Contact information
Red Flags
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