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AL

Aaron Lewis

Some features on this profile are disabled
CRD#: 6804097
AL

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.

Aaron Lewis, who also goes by Aaron M Lewis, was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 2022. Aaron had worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aaron M Lewis

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 28, 2023 - September 27, 2024

CAPITALA SECURITIES, LLC

BD
CRD#: 304095
Charlotte, NC
Past

April 10, 2022 - July 20, 2023

PIPER SANDLER & CO.

BD
CRD#: 665
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/19/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/9/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/12/2022
Securities Industry Essentials Examination

Current Firm

CS
CAPITALA SECURITIES, LLC
CAPITALA SECURITIES, LLC

CRD#: 304095 / SEC#: , 8-70342

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

Main Address
4201 Congress Street Suite 360c, Charlotte, NC 28209
Mailing Address
4201 Congress Street Suite 360c, Charlotte, NC 28209
Phone number
(704) 790-1666
Established
Delaware since 06/29/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITALA SECURITIES HOLDING CORP.OWNER AND SOLE MEMBER
ALALA, CHRISTINE LEVETTPRESIDENT5723934
COSIO, ROMMELCHIEF COMPLIANCE OFFICER2017788
THORNTON, STEVEN LEEFINOP, CFO4496384

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

CAPITALA SECURITIES, LLC

CRD#: 304095

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