Lewis T. Smith
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.
Lewis Taylor Smith, who also goes by Lewis T Smith, Lt Smith, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1999. Lewis had worked at 4 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 21, 2003 - November 16, 2005
SYNDICATED CAPITAL, INC.
September 11, 2002 - December 31, 2002
SAXONY SECURITIES, INC.
April 9, 2001 - February 13, 2002
MONY SECURITIES CORPORATION
November 3, 1999 - May 10, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
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
SYNDICATED CAPITAL, INC.
CRD#: 29037 / SEC#: 801-129421, 8-44162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SC ADD HOLDINGS, LLC | OWNER | |
| BAINES AND MCADAMS LIVING TRUST | OWNER | |
| BAINES, HEATHER UNA | TRUSTEE OF BAINES & MCADAMS LIVING TRUST | 2173889 |
| LEE, FAITH | PRESIDENT, CCO, ROP, MUNICIPAL SECURITIES PRINCIPAL, MANAGER OF SC ADD HOLDINGS, LLC | 2715226 |
| MCADAMS, JOSEPH LLOYD JR | SROP, CROP, MUNICIPAL SECURITIES PRINCIPAL/TRUSTEE OF BAINES AND MCADAMS LIVING TRUST | 2173886 |
| THORNTON, STEVEN LEE | FINANCIAL AND OPERATIONS PRINCIPAL | 4496384 |
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 122,987,781 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
