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JL

James G. Lewis

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CRD#: 3093203
JL

Professional summary

James Gordon Lewis was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, James had worked at 3 firms, which includes BLS SECURITIES LLC, NATIONAL CLEARING CORP., STOCKS 4 LESS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James G Lewis | Jamie Lewis

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

February 22, 2002 - December 12, 2002

BLS SECURITIES, LLC

BD
CRD#: 44785
BEVERLY HILLS, CA
Past

August 28, 2000 - January 27, 2004

NATIONAL CLEARING CORP.

BD
CRD#: 14343
SHERMAN OAKS, CA
Past

October 21, 1998 - January 27, 2004

STOCKS 4 LESS, INC.

BD
CRD#: 42666
SHERMAN OAKS, CA

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: 12/16/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/10/1998
General Securities Principal Examination

Current Firm

BS
BLS SECURITIES, LLC
BLS SECURITIES, LLC

CRD#: 44785 / SEC#: , 8-50821

BD
Terminated by SEC on 01/18/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/22/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FICORP INC.DIRECT OWNER
CHIODO, MICHAEL JCFO2097132
LEWIS, JAMES GORDONCEO3093203
MURPHY, KEVINTRADING MANAGER1645347
TREICHLER, BRADLEY GROVECHIEF COMPLIANCE OFFICER2200599

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

BLS SECURITIES, LLC

CRD#: 44785

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