James M. 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.
James Millard Lewis was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2012 - April 12, 2018
BARTLETT & CO. LLC
January 12, 2005 - April 3, 2012
BARTLETT & CO
November 22, 2004 - January 14, 2005
LEGG MASON WOOD WALKER, INCORPORATED
November 9, 2004 - December 6, 2005
LEGG MASON WOOD WALKER, INCORPORATED
February 12, 2001 - August 10, 2004
LUMENT SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
BARTLETT & CO. LLC
CRD#: 159973 / SEC#: 801-73057
Contact information
Documents
Red Flags
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