Adam W. Levitz
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.
Adam Wayne Levitz was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2002. Adam had worked at 6 firms and has passed the Series 63, Series 25 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
April 23, 2012 - May 29, 2012
LAIDLAW & COMPANY (UK) LTD.
January 12, 2007 - January 18, 2012
WJB CAPITAL GROUP, INC.
September 29, 2006 - January 18, 2007
DASH FINANCIAL TECHNOLOGIES LLC
April 26, 2005 - September 29, 2006
NANDRA GROUP, INC.
October 24, 2003 - May 4, 2005
JEFFERIES EXECUTION SERVICES, INC.
October 2, 2002 - October 27, 2003
MOORS & CABOT, 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
Series 25
Date: 6/19/2003
NYSE Trading Assistant ExaminationCurrent Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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