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CL

Cary A. Levow

LEC INVESTMENT
Birmingham, AL 35203
Some features on this profile are disabled
CRD#: 5096544
CL

Professional summary

Cary A Levow is a registered financial professional currently at LEC INVESTMENT CORP. located in Birmingham, Alabama.

Cary is registered as a RR (Registered Representative) and started their career in finance in 2020. Cary has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cary A Levow's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 13, 2020 - Present

LEC INVESTMENT CORP.

Office #1: 505 20th Street North Suite 1150, Birmingham, AL 35203Office #2: 505 20th Street Suite 1150, Birmingham, AL 35203
BD
CRD#: 25336
Birmingham, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(6/7/2024)
RR
Colorado
(11/5/2021)
RR
District of Columbia
(11/5/2021)
RR
Florida
(11/5/2021)
RR
Georgia
(11/5/2021)
RR
Illinois
(6/7/2024)
RR
Kentucky
(6/3/2024)
RR
Missouri
(10/8/2025)
RR
New Jersey
(12/6/2021)
RR
New York
(11/5/2021)
RR
North Carolina
(11/13/2024)
RR
Pennsylvania
(4/29/2024)
RR
South Carolina
(2/14/2024)
RR
Texas
(2/6/2024)
RR
Virginia
(6/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/13/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/11/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LI
LEC INVESTMENT CORP.
LEC INVESTMENT CORP.

CRD#: 25336 / SEC#: , 8-41695

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
505 20th Street North Suite 1150, Birmingham, AL 35203
Mailing Address
505 20th Street North Suite 1150, Birmingham, AL 35203
Phone number
(205) 328-3120
Established
Alabama since 07/19/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ENGEL, ALAN ZACHARYPRESIDENT/DIRECTOR/CHIEF EXE OFFICER/CHIEF FIN OPERATIONS OFFICER/CCO/PRIN FIN OFFICER/PRIN OPERATIONS OFFICER720785
LEVOW, ALAN DOUGLASVICE PRESIDENT1302486
HAINES, ANDREA ENGELSECRETARY6201194

Disclosures

Regulatory Event1

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.

Company Information

LEC INVESTMENT CORP.

CRD#: 25336Birmingham, AL 35203

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