Lewis A. Cady
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 Archie Cady, who also goes by Lew Cady, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1970. Lewis had worked at 14 firms and has passed the Series 63 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
August 4, 1994 - May 8, 1998
PIM FINANCIAL SERVICES, INC.
November 4, 1992 - August 16, 1994
CONSOLIDATED INVESTMENT SERVICES, INC.
May 19, 1992 - November 5, 1992
SUNAMERICA SECURITIES, INC.
June 21, 1990 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
November 10, 1988 - August 11, 1989
CENPAC SECURITIES CORP.
August 8, 1985 - November 22, 1988
SECURITIES AMERICA, INC.
March 8, 1983 - October 3, 1983
MARQUETTE FINANCIAL GROUP, INC.
July 26, 1981 - May 12, 1982
B. J. LEONARD AND COMPANY, INC.
November 6, 1980 - July 22, 1981
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
June 24, 1980 - December 25, 1980
FSC SECURITIES CORPORATION
November 24, 1978 - September 13, 1979
WORLD CAPITAL BROKERAGE, INC.
December 7, 1977 - November 2, 1978
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 26, 1975 - February 7, 1976
CAPP AND SMITH, INC.
May 9, 1972 - September 28, 1974
CORNERSTONE FINANCIAL SERVICES, INC.
March 24, 1971 - April 2, 1972
WORLD CAPITAL BROKERAGE, INC.
April 28, 1970 - April 13, 1971
INTEGRATED RESOURCES EQUITY CORPORATION
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 1
Date: 4/8/1965
Registered Representative ExaminationCurrent Firm
PIM FINANCIAL SERVICES, INC.
CRD#: 10547 / SEC#: 801-72856, 8-27340
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
| Bond | 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.
