Matthew J. 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.
Matthew John Lewis, who also goes by Matt Lewis, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1998. Matthew had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2006 - August 13, 2018
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
June 28, 2002 - October 9, 2003
PAGEONE FINANCIAL, INC.
May 31, 2002 - May 4, 2005
ADVANTAGE CAPITAL CORPORATION
February 22, 2002 - May 4, 2005
ADVANTAGE CAPITAL CORPORATION
June 27, 2001 - February 21, 2002
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
October 23, 2000 - May 1, 2001
NATIONAL PLANNING CORPORATION
July 30, 1999 - January 13, 2000
AMERICAN UNITED LIFE INSURANCE COMPANY
December 24, 1998 - October 31, 2000
FIRST FINANCIAL SECURITIES OF AMERICA, 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
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
CRD#: 13642 / SEC#: , 8-29565
Contact information
FINRA licenses (28 States and Territories)
Direct owners and executive officers
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.
