Robert J. Lewin
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.
Robert Joseph Lewin, who also goes by Robert Lewin, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2005. Robert had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2016 - April 2, 2020
CROTON LIQUID MARKETS LLC
May 4, 2015 - April 2, 2020
GUGGENHEIM SECURITIES, LLC
August 12, 2010 - April 24, 2015
CITIGROUP GLOBAL MARKETS INC.
September 22, 2008 - May 26, 2010
BARCLAYS CAPITAL INC.
December 9, 2005 - September 22, 2008
LEHMAN BROTHERS 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
CROTON LIQUID MARKETS LLC
CRD#: 283873 / SEC#: , 8-69770
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| DISTELL, GARY NEIL | CHIEF COMPLIANCE OFFICER | 1540489 |
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.
