Miles F. Levites
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.
Miles Frederick Levites was a registered financial professional .
Miles is a previously registered financial professional and started their career in finance in 1975. Miles had worked at 6 firms and has passed the Series 63, SIE, PC, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2013 - June 10, 2019
HENNION & WALSH, INC.
February 16, 2001 - December 31, 2013
PMK SECURITIES & RESEARCH, INC.
January 2, 2001 - February 14, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 25, 1997 - January 2, 2001
JWGENESIS SECURITIES, INC.
September 17, 1992 - December 4, 1997
CITIGROUP GLOBAL MARKETS INC.
October 13, 1975 - September 3, 1992
ADVEST, INC.
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 40
Date: 4/11/1977
Registered Principal ExaminationSeries 12
Date: 3/29/1976
NYSE Branch Manager ExaminationCurrent Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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