Jacqueline 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.
Jacqueline Lewis, who also goes by Jackie Lewis, Jacqueline Sarah Lewis, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 2017. Jacqueline had worked at 2 firms and has passed the Series 66, Series 7TO, SIE 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
November 22, 2021 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
November 19, 2021 - December 31, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
February 8, 2019 - November 25, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
February 8, 2019 - November 25, 2019
WESTERN INTERNATIONAL SECURITIES, INC.
June 8, 2018 - January 24, 2019
AMERITAS INVESTMENT COMPANY, LLC
November 21, 2017 - January 24, 2019
AMERITAS INVESTMENT COMPANY, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
