David C. 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.
David Christopher Lewis was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 6 firms and has passed the Series 63, SIE, Series 55 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 30, 2012 - February 9, 2024
ECOBAN SECURITIES CORPORATION
July 14, 2011 - December 31, 2011
GLOBAL HUNTER SECURITIES, LLC
January 23, 2008 - September 27, 2010
RODMAN & RENSHAW, LLC
August 2, 2006 - November 2, 2006
NEW YORK GLOBAL SECURITIES, INC.
February 4, 2002 - October 10, 2002
A.B. WATLEY, INC.
April 15, 1999 - January 31, 2002
CENTENNIAL VENTURES, LTD.
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 55
Date: 10/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
ECOBAN SECURITIES CORPORATION
CRD#: 29112 / SEC#: , 8-39753
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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