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RL

Richard D. Lewis

ST GLOBAL MARKETS USA LLC
Great Neck, NY 11021
Some features on this profile are disabled
CRD#: 7148238
RL

Professional summary

Richard Donald Lewis, who also goes by Richard D Lewis, is a registered financial professional currently at ST GLOBAL MARKETS USA LLC located in Great Neck, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2019. Richard has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 7TO, SIE, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard D 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) - BD

Click below to view Richard Donald 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

October 17, 2025 - Present

ST GLOBAL MARKETS USA LLC

Office #1: 45 N. Station Plaza Ste 209, Great Neck, NY 11021
BD
CRD#: 324143
Great Neck, NY
Past

April 6, 2020 - September 8, 2025

VELOCITY CLEARING, LLC

BD
CRD#: 126588
Boca Raton, FL
Past

August 15, 2019 - July 29, 2025

VELOCITY CAPITAL, LLC

BD
CRD#: 171810
Boca Raton, FL

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
New York
(10/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/17/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 12/17/2019
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/15/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/6/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/11/2022
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/23/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SG
ST GLOBAL MARKETS USA LLC
ST GLOBAL MARKETS USA LLC

CRD#: 324143 / SEC#: , 8-71021

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

Main Address
45 N. Station Plaza Ste 209, Great Neck, NY 11021
Mailing Address
45 N. Station Plaza Ste 209, Great Neck, NY 11021
Phone number
(855) 800-1688
Established
Delaware since 10/20/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 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#
ST FINANCIAL LLCOWNER
WONG, EDWARD KEWEISALES SUPERVISOR4388478
LEWIS, RICHARD DONALDCEO7148238
MANZO, MARK THOMASFINOP1229739
ROGE, SHARI RHENEECHIEF COMPLIANCE OFFICER1312012

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

ST GLOBAL MARKETS USA LLC

CRD#: 324143Great Neck, NY 11021

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