Theodore 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.
Theodore Levy was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1970. Theodore had worked at 16 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - January 8, 2013
DINOSAUR FINANCIAL GROUP, L.L.C
May 15, 2006 - December 31, 2009
MCGINN, SMITH & CO., INC.
July 27, 2005 - June 2, 2006
A. G. EDWARDS & SONS, INC.
April 11, 2002 - June 2, 2006
A. G. EDWARDS & SONS, INC.
June 11, 2001 - April 11, 2002
SANDERS MORRIS LLC
January 11, 1999 - July 6, 2001
LADENBURG THALMANN & CO. INC.
April 4, 1997 - January 19, 1999
TUCKER ANTHONY INCORPORATED
April 10, 1996 - April 16, 1997
ALEX. BROWN & SONS INCORPORATED
April 26, 1994 - April 29, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 1993 - April 4, 1994
GLEACHER & COMPANY SECURITIES, INC.
February 10, 1989 - June 14, 1993
JANNEY MONTGOMERY SCOTT LLC
November 6, 1987 - March 7, 1989
JSC SECURITIES, INC.
October 26, 1976 - November 17, 1987
HAAS SECURITIES CORPORATION
March 25, 1975 - November 29, 1976
E. F. HUTTON & COMPANY INC
March 23, 1973 - March 10, 1975
HOPPIN, WATSON, INC.
May 5, 1971 - March 17, 1975
SHASKAN & COMPANY INCORPORATED
February 4, 1970 - February 27, 1971
KERN SECURITIES CORPORATION
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
PC
Date: 6/6/1977
AMEX Put and Call ExamSeries 1
Date: 5/11/1961
Registered Representative ExaminationSeries 40
Date: 4/26/1971
Registered Principal ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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