James L. Levy
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.
James Lloyd Levy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 12 firms and has passed the Series 63, 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 7, 2009 - November 21, 2014
SPC
July 25, 2003 - November 21, 2014
PARKLAND SECURITIES, LLC
January 25, 2002 - July 28, 2003
METROPOLITAN LIFE INSURANCE COMPANY
January 25, 2002 - July 28, 2003
MSI FINANCIAL SERVICES, INC.
October 9, 1998 - February 8, 2002
EQUITY SERVICES, INC.
August 12, 1997 - October 8, 1998
THE ADVISORS GROUP, INC.
July 14, 1994 - August 8, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 4, 1986 - April 21, 1994
EQUITY SERVICES, INC.
September 26, 1984 - February 24, 1986
NATIONAL CLEARING CORP.
June 19, 1983 - September 4, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 21, 1978 - November 16, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
February 5, 1973 - December 25, 1978
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 13, 1972 - February 19, 1973
SYMETRA SECURITIES, INC.
September 29, 1970 - November 11, 1972
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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: 9/24/1970
Registered Representative ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
