Lewis A. Marsten
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 Alfred Marsten JR, who also goes by Lewis Alfred Marsten, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1970. Lewis had worked at 7 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2000 - April 2, 2018
PORTSMOUTH FINANCIAL SERVICES
December 14, 1992 - September 25, 2000
PIPER SANDLER & CO.
November 11, 1992 - December 14, 1992
HENRY F. SWIFT & CO.
August 14, 1989 - August 12, 1992
A. G. EDWARDS & SONS, INC.
July 8, 1974 - August 14, 1989
THOMSON MCKINNON SECURITIES INC.
November 21, 1972 - August 19, 1975
W. E. HUTTON & CO.
June 19, 1970 - October 21, 1972
FRANCIS I DUPONT CO
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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/17/1966
Registered Representative ExaminationCurrent Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
