Craig S. 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.
Craig Stout Lewis, who also goes by Craig S. Lewis, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2008. Craig had worked at 3 firms and has passed the Series 63, SIE and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2012 - March 11, 2016
SECURITY RESEARCH ASSOCIATES, INC.
January 14, 2009 - March 12, 2012
AURORA CAPITAL LLC
April 14, 2008 - December 26, 2008
FIRST DOMINION CAPITAL CORP.
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
SECURITY RESEARCH ASSOCIATES, INC.
CRD#: 8200 / SEC#: , 8-24626
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWIFT, BRIAN GARNER | CHAIRMAN | 441317 |
| COLLINS, TIMOTHY | PRESIDENT, CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR - CAPITAL MARKETS | 51366 |
| DE-JOUNGE, ANDERS ARENDT | OWNER | 2318841 |
| MAGOWAN, JAMES BASIL | OWNER | 5781647 |
| HAMILTON, GARY LEE | OWNER & SECRETARY | 4851778 |
| KLAGES, WILLIAM ALBERT | OWNER | 4748921 |
| LEWIS, CRAIG STOUT | OWNER | 5501107 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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