Jerald M. 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.
Jerald Marvin Lewis, who also goes by Jerry Lewis, was a registered financial professional .
Jerald is a previously registered financial professional and started their career in finance in 1980. Jerald had worked at 10 firms and has passed the Series 63, 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
May 23, 2016 - May 31, 2016
LOMBARD SECURITIES INCORPORATED
November 7, 2008 - May 23, 2016
OPPENHEIMER & CO. INC.
July 26, 2005 - November 17, 2008
WELLS FARGO CLEARING SERVICES, LLC
June 27, 2002 - July 26, 2005
MORGAN STANLEY DW INC.
June 20, 2002 - July 3, 2002
TRUIST INVESTMENT SERVICES, INC.
June 11, 1993 - June 13, 2002
FERRIS, BAKER WATTS, LLC
December 3, 1984 - June 15, 1993
GRUNTAL & CO., L.L.C.
October 1, 1982 - December 13, 1984
THOMSON MCKINNON SECURITIES INC.
March 18, 1982 - September 21, 1982
MERCANTILE BROKERAGE SERVICES, INC.
December 31, 1980 - March 17, 1982
DOMIK 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
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
