Lewis Scala
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 Scala was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1970. Lewis had worked at 8 firms and has passed the Series 63 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 1986 - March 27, 1990
DOUGLAS BREMEN & CO., INC.
October 11, 1976 - March 13, 1987
NORBAY SECURITIES INC.
January 1, 1975 - May 2, 1980
JOHN R MAHER ASSOCIATES, INC.
May 14, 1974 - September 5, 1975
RALPH B LEONARD & SONS INC
May 21, 1973 - July 1, 1974
LLORENS ASSOCIATES, INC.
August 30, 1972 - February 7, 1973
RALPH B LEONARD & SONS INC
February 17, 1972 - July 15, 1974
R. BASILE & CO., INC.
November 9, 1970 - September 20, 1972
L M SCALA 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
Series 00
Date: 11/5/1970
General Securities Principal ExaminationCurrent Firm
DOUGLAS BREMEN & CO., INC.
CRD#: 13186 / SEC#: , 8-28895
Contact information
Documents
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.
