Lewis Vande-pallen
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 Vande-pallen JR. was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1999. Lewis had worked at 1 firm and has passed the SIE, Series 55, Series 62, Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2007 - December 1, 2014
SEAPORT SECURITIES CORP.
December 19, 2001 - July 31, 2007
SEAPORT SECURITIES CORP.
January 9, 2001 - April 5, 2001
SEAPORT SECURITIES CORP.
June 22, 1999 - December 10, 2000
SEAPORT SECURITIES CORP.
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 55
Date: 7/30/2009
Limited Representative-Equity Trader ExamSeries 62
Date: 3/20/2009
Corporate Securities Limited Representative ExaminationSeries 7A
Date: 4/24/2002
Floor Broker Representative ExamSeries 25
Date: 3/9/2000
NYSE Trading Assistant ExaminationCurrent Firm
SEAPORT SECURITIES CORP.
CRD#: 8330 / SEC#: , 8-24971
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEISBERG, THEODORE PAUL | PRESIDENT | 1485848 |
| WEISBERG, THEODORE PAUL | CFO/PFO | |
| ZOLDAN, DEBBIE SUE | CHIEF COMPLIANCE OFFICER AND POO |
Disclosures
| Regulatory Event | 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.
