Charles M. Lewis
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.
Charles Morris Lewis was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1965. Charles had worked at 8 firms and has passed the Series 63, Series 5, PC 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
June 20, 2000 - March 17, 2003
BSI BROKERAGE, INC.
March 15, 1995 - December 23, 1999
BISHOP, ROSEN & CO., INC.
May 23, 1979 - December 30, 1992
LEHMAN BROTHERS INC.
June 13, 1977 - September 28, 1979
BALFOUR INVESTORS INC.
February 4, 1977 - September 15, 1977
PRESCOTT, BALL & TURBEN
April 9, 1976 - February 4, 1977
PRESCOTT, BALL & TURBEN
November 14, 1973 - April 9, 1976
WINKLER, CANTOR, POMBOY & CO.
March 22, 1965 - December 17, 1972
TREVES & 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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 5/20/1977
AMEX Put and Call ExamSeries 1
Date: 3/1/1960
Registered Representative ExaminationCurrent Firm
BSI BROKERAGE, INC.
CRD#: 41069 / SEC#: , 8-49280
Contact information
Documents
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.
