David Lewis

FINANCIAL NORTHEASTERN SECURITIES

Dublin, OH 43017

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CRD#: 7058940

Professional summary

David Lewis is a registered financial advisor currently at FINANCIAL NORTHEASTERN SECURITIES, INC. located in Dublin, Ohio.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. David has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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 Barn at Stratford 2690 Stratford Rd Delaware, OH 43025; non-investment related; bartending services at event space; 10/17/2022; 8-10 hours during non-securities trading hours DoorDash 901 Market Sreet Ste 600 San Francisco, CA 94103; non-investment related; food delivery service; 2/11/2022; 10 hours during non-securities trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lewis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Lewis'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

July 1, 2020 - Present

FINANCIAL NORTHEASTERN SECURITIES, INC.

Office #1: 485 Metro Place South Suite 465, Dublin, OH 43017

RIA

CRD#: 17007

Dublin, OH

Current

June 30, 2020 - Present

FINANCIAL NORTHEASTERN SECURITIES, INC.

Office #1: 485 Metro Place South Suite 465, Dublin, OH 43017

RIA

CRD#: 17007

Dublin, OH

Past

September 27, 2019 - June 19, 2020

BENJAMIN F. EDWARDS & COMPANY, INC.

RIA

CRD#: 146936

COLUMBUS, OH

Past

September 26, 2019 - June 19, 2020

BENJAMIN F. EDWARDS & COMPANY, INC.

CRD#: 146936

COLUMBUS, OH

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(1/5/2023)

Arizona
(6/30/2020)

California
(6/30/2020)

Colorado
(6/30/2020)

Delaware
(1/2/2025)

District of Columbia
(6/30/2020)

Florida
(1/5/2023)

Hawaii
(6/30/2020)

Idaho
(1/2/2025)

Illinois
(6/30/2020)

Indiana
(6/30/2020)

Iowa
(1/4/2022)

Kansas
(1/5/2023)

Kentucky
(6/30/2020)

Louisiana
(6/30/2020)

Maine
(1/2/2025)

Massachusetts
(6/30/2020)

Michigan
(6/30/2020)

Minnesota
(6/30/2020)

Missouri
(1/7/2021)

Montana
(1/2/2025)

Nebraska
(6/30/2020)

New Hampshire
(6/30/2020)

New Jersey
(6/30/2020)

IAR

New Jersey
(7/1/2020)

New Mexico
(6/30/2020)

New York
(6/30/2020)

North Dakota
(6/30/2020)

Ohio
(6/30/2020)

Pennsylvania
(6/30/2020)

Puerto Rico
(1/2/2025)

South Dakota
(6/30/2020)

Tennessee
(1/2/2025)

Texas
(6/30/2020)

Vermont
(1/2/2025)

Virginia
(6/30/2020)

West Virginia
(6/30/2020)

Wisconsin
(6/30/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/4/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/26/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/12/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

FINANCIAL NORTHEASTERN SECURITIES, INC.

FINANCIAL NORTHEASTERN SECURITIES, INC. | FNC INVESTMENTS CORPORATION

CRD#: 17007 / SEC#: , 8-34883

California

Registered Investment Advisory firm - SEC (8/11/2011 Terminated)

Florida

Registered Investment Advisory firm - SEC (2/28/2002 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/23/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

100 Passaic Avenue One Greenbrook Corporate Center, Fairfield, NJ 07004

Mailing Address

100 Passaic Avenue 100, Fairfield, NJ 07004

Phone number

(973) 882-9337

Established

New Jersey since 02/14/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ZAGE, JEFFREY P	CEO, PRESIDENT, GP	1286688
ZAGE, STEVEN MARTIN	VP, SEC	1314965
KISS, SANDRALIN JOSEPHINE	EXEC VP, COO, FINOP, CCO	1093671
MILLAHN, FLORENCE A	DIRECTOR OF OPERATIONS, ROSFP	2786661
MILSTEIN, BARRY MITCHELL	EVP	1632450

Disclosures

Regulatory Event

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.

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David Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lewis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL NORTHEASTERN SECURITIES, INC.

BENJAMIN F. EDWARDS & COMPANY, INC.

BENJAMIN F. EDWARDS & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2016

Series 7TO

Date: 9/26/2019

SIE

Date: 8/12/2019

FINRA

Current Firm

FINANCIAL NORTHEASTERN SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FINANCIAL NORTHEASTERN SECURITIES, INC.

TRUST BUT VERIFY

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