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BL

Bruce L. Lewis

Some features on this profile are disabled
CRD#: 308488
BL

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.

Bruce Leonard Lewis was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1964. Bruce had worked at 9 firms and has passed the Series 63, SIE, Series 15, PC and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 5, 2008 - December 25, 2014

AURORA CAPITAL LLC

BD
CRD#: 37924
BOYNTON BEACH, FL
Past

August 28, 2007 - July 30, 2008

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
TAMPA, FL
Past

March 4, 2004 - October 1, 2007

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

July 1, 2003 - March 16, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 16, 1977 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

BD
CRD#: 7238
Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

BD
CRD#: 7058
Past

July 5, 1973 - February 27, 1976

BACHE & CO., INCORPORATED

BD
CRD#: 66
Past

February 28, 1964 - August 12, 1973

DUPONT WALSTON, INCORPORATED

BD
CRD#: 870

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/4/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/25/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 15
Date: 3/7/1983
Foreign Currency Options Examination
General Industry/Product Exam
RR
PC
Date: 9/1/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 8/2/1960
Registered Representative Examination

Current Firm

AC
AURORA CAPITAL LLC
AURORA CAPITAL CORP. | AURORA CAPITAL LLC

CRD#: 37924 / SEC#: , 8-48069

BD
Terminated by SEC on 07/04/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 09/15/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AURORA CAPITAL CORP.MANAGING MEMBER
JAVITS, ERIC MINDIVIDUAL OWNER6721703
T MORGEN CAPITAL LLCMEMBER
MARGOLIS, JEFF ELIOTPRES OF AURORA CAPITAL CORP., MANAGING MEMBER, PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, CFO, CHIEF ADMIN, EXEC REP TO FINRA1131553

Disclosures

Regulatory Event6

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.

Company Information

AURORA CAPITAL LLC

CRD#: 37924

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