Scott R. 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.
Scott Richard Lewis was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2006. Scott had worked at 7 firms and has passed the Series 63, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2014 - July 23, 2014
INVESTACORP, INC.
September 5, 2012 - September 30, 2013
NESTWISE LLC
March 2, 2012 - September 13, 2012
VERITAT ADVISORS
July 29, 2010 - June 17, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
July 20, 2010 - June 17, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
May 25, 2009 - January 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
May 20, 2009 - January 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
August 2, 2007 - December 31, 2008
LONGVIEW WEALTH MANAGEMENT
January 3, 2007 - December 31, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 29, 2006 - December 31, 2006
CETERA WEALTH SERVICES, LLC
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
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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.
