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GL

Gregory A. Lewis

STOCKKINGS CAPITAL LLC
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 2793976
GL

Professional summary

Gregory Antonius Lewis is a registered financial professional currently at STOCKKINGS CAPITAL LLC located in New York, New York.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 1996. Gregory has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 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 Gregory Antonius Lewis's CRS (Customer Relationship Summary).
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

June 21, 2013 - Present

STOCKKINGS CAPITAL LLC

Office #1: 30 Broad Street Suite 1428, New York, NY 10004
BD
CRD#: 164445
NEW YORK, NY
Past

October 23, 2024 - January 25, 2025

STIRLINGSHIRE INVESTMENTS

BD
CRD#: 310576
NEW YORK CITY, NY
Past

October 13, 2011 - December 22, 2011

CALDWELL INTERNATIONAL SECURITIES

BD
CRD#: 104323
NASSAU,
Past

February 1, 2008 - November 11, 2011

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

February 27, 2007 - February 5, 2008

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
BETHPAGE, NY
Past

April 21, 2006 - February 28, 2007

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
NEW YORK, NY
Past

July 13, 2005 - April 24, 2006

SLOAN SECURITIES CORP.

BD
CRD#: 17930
EAST MEADOW, NY
Past

October 21, 2004 - July 6, 2005

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
BIRMINGHAM, AL
Past

August 13, 2004 - October 22, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

January 29, 2004 - August 11, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

September 16, 1996 - January 29, 2004

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, 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
(11/30/2022)
RR
Florida
(11/25/2013)
RR
New York
(1/13/2021)
RR
Texas
(1/21/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/1996
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: 9/14/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/27/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STOCKKINGS CAPITAL LLC
BRITANNICA CAPITAL PARTNERS, LLC | STOCKKINGS CAPITAL LLC

CRD#: 164445 / SEC#: , 8-69100

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

Main Address
30 Broad Street Suite 1428, New York, NY 10004
Mailing Address
30 Broad Street Suite 1428, New York, NY 10004
Phone number
(212) 763-5820
Established
New York since 03/29/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STOCKKINGS HOLDINGS INCOWNER
THONON, PAULDIRECTOR7189317
BUSACCA, JOHN BRIAN IIICCO2302780
LEWIS, GREGORY ANTONIUSCEO2793976

Disclosures

Regulatory Event2

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

STOCKKINGS CAPITAL LLC

CRD#: 164445New York, NY 10004

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