David C. 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.
David Charles Lewis was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2013 - December 13, 2013
HEDGEBAY SECURITIES LLC
January 30, 2012 - January 22, 2013
WESTON FINANCIAL SERVICES LLC
July 26, 2011 - November 16, 2011
GFI SECURITIES LLC
February 23, 2011 - June 13, 2011
WELLS FARGO PRIME SERVICES, LLC
November 18, 2009 - January 10, 2011
SMITH CAPITAL MARKETS, LLC.
May 22, 2003 - March 22, 2004
FIRST MANHATTAN SECURITIES LLC
November 29, 1997 - April 7, 1998
SALOMON BROTHERS INC.
June 18, 1997 - April 7, 1998
CITIGROUP GLOBAL MARKETS 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
Current Firm
HEDGEBAY SECURITIES LLC
CRD#: 121136 / SEC#: , 8-65385
Contact information
FINRA licenses (22 States and Territories)
Red Flags
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