John D. 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.
John Dee Lewis JR, who also goes by John Dee Lewis, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1976. John had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1989 - February 13, 2017
SOUTHERN PACIFIC SECURITIES, INC.
May 23, 1979 - June 6, 1989
WALL STREET WEST, INC.
August 31, 1978 - July 1, 1980
CITISTREET EQUITIES LLC
May 5, 1978 - May 30, 1979
DAIN RAUSCHER INCORPORATED
March 2, 1976 - May 5, 1978
BOSWORTH SULLIVAN & COMPANY INCORPORATED
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 1
Date: 5/27/1969
Registered Representative ExaminationCurrent Firm
SOUTHERN PACIFIC SECURITIES, INC.
CRD#: 23833 / SEC#: , 8-40749
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, JOHN DEE JR | PRESIDENT, CEO, CFO, CCO | 819111 |
Red Flags
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