Kimble P. Lewis
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.
Kimble P Lewis, who also goes by Kimble Lewis, was a registered financial professional .
Kimble is a previously registered financial professional and started their career in finance in 2000. Kimble had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2016 - September 16, 2016
DAVID LERNER ASSOCIATES, INC.
May 11, 2005 - December 3, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 5, 2005 - December 3, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 31, 2005 - April 4, 2005
CHASE INVESTMENT SERVICES CORP.
January 25, 2005 - April 4, 2005
CHASE INVESTMENT SERVICES CORP.
March 31, 2003 - December 31, 2004
CHASE INVESTMENT SERVICES CORP.
April 26, 2002 - April 2, 2003
CITICORP INVESTMENT SERVICES
June 26, 2000 - December 10, 2001
MORGAN STANLEY DW INC.
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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
