Dane E. 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.
Dane Elden Lewis was a registered financial professional .
Dane is a previously registered financial professional and started their career in finance in 1998. Dane had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2010 - July 16, 2014
SAN FRANCISCO INVESTMENT MANAGEMENT, LLC
November 12, 1998 - July 25, 2002
ROBERTSON STEPHENS, INC.
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
Current Firm
SAN FRANCISCO INVESTMENT MANAGEMENT, LLC
CRD#: 150349 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 12/24/2015 |
| Oregon | ERA - Withdrawn | 7/18/2014 |
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.
