Jack W. Levi
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.
Jack Winfield Levi JR was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1961. Jack had worked at 2 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1990 - November 24, 2014
CONNERS & CO., INC.
July 28, 1961 - May 15, 1989
A. E. AUB & CO.
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
Series 1
Date: 7/28/1961
Registered Representative ExaminationCurrent Firm
CONNERS & CO., INC.
CRD#: 1511 / SEC#: , 8-8228
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONNERS, JOHN ANTHONY | CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER | 52348 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
