Thomas D. Levis
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.
Thomas Dennis Levis was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1959. Thomas had worked at 3 firms and has passed the Series 63, SIE, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2009 - August 6, 2015
FULCRUM SECURITIES, LLC
January 30, 2001 - March 19, 2009
DU PASQUIER & CO., INC.
November 25, 1959 - April 9, 2001
INVESTORS COMPANY
State Registrations and Notice Filings
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Exams
Series 1
Date: 10/14/1958
Registered Representative ExaminationCurrent Firm
FULCRUM SECURITIES, LLC
CRD#: 140084 / SEC#: , 8-67274
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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