Lewis H. Alton
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 Hunt Alton was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1971. Lewis had worked at 4 firms and has passed the Series 63, Series 1, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 1985 - November 20, 2000
L. H. ALTON & COMPANY
January 24, 1979 - October 9, 1984
SCHRODER & CO. INC.
May 19, 1978 - February 1, 1979
KIDDER, PEABODY & CO. INCORPORATED
September 28, 1971 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/16/1971
Registered Representative ExaminationSeries 40
Date: 8/18/1977
Registered Principal ExaminationCurrent Firm
L. H. ALTON & COMPANY
CRD#: 15682 / SEC#: , 8-33280
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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