Andrew J. 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.
Andrew Joseph Lewis, who also goes by Andy Lewis, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1977. Andrew had worked at 18 firms and has passed the Series 63, Series 99TO, Series 72, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2018 - August 22, 2022
SANCTUARY SECURITIES, INC.
February 8, 2016 - November 29, 2018
WORLD EQUITY GROUP, INC.
October 6, 2014 - May 14, 2015
LPE SECURITIES, LLC
September 5, 2012 - September 16, 2014
HALEN CAPITAL
April 13, 2012 - August 28, 2012
HALEN CAPITAL
November 7, 2011 - February 8, 2012
H.C.WAINWRIGHT & CO., LLC
April 26, 2004 - October 5, 2011
LPE SECURITIES, LLC
December 12, 2003 - October 6, 2004
FINACORP SECURITIES
January 15, 2003 - December 15, 2003
LPE SECURITIES, LLC
April 23, 2002 - January 15, 2003
PARAGON FINANCIAL GROUP, INCORPORATED
October 14, 1999 - April 3, 2002
NATIONAL SECURITIES CORPORATION
January 29, 1999 - August 25, 1999
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
July 17, 1995 - May 28, 1998
SUNCOAST CAPITAL GROUP, LTD.
October 13, 1994 - June 1, 1995
WILLIAM R. HOUGH & CO.
January 13, 1994 - October 17, 1994
PORTER, WHITE & COMPANY, INC.
July 10, 1989 - October 29, 1993
CITIGROUP GLOBAL MARKETS INC.
June 6, 1989 - July 20, 1989
UBS FINANCIAL SERVICES INC.
October 3, 1988 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
September 14, 1987 - October 4, 1988
MORGAN STANLEY DW INC.
September 10, 1981 - September 22, 1987
E. F. HUTTON & COMPANY INC
April 11, 1979 - September 25, 1981
MORGAN STANLEY DW INC.
June 14, 1977 - April 22, 1979
SOUTHSTATE|DUNCANWILLIAMS SECURITIES 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 1
Date: 6/10/1977
Registered Representative ExaminationCurrent Firm
SANCTUARY SECURITIES, INC.
CRD#: 205 / SEC#: 801-67588, 8-22752
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANCTUARY WEALTH GROUP, LLC | SOLE SHAREHOLDER | |
| CHASE, KEVIN P | CHIEF COMPLIANCE OFFICER | 1626158 |
| MILLER, KEVIN JOSEPH | CHIEF LEGAL OFFICER AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 4133001 |
| SMEAL, TIMOTHY D | DIRECTOR OF OPERATIONS | 4169869 |
| VAUGHAN, DAVID | FINANCIAL OPERATIONS PRINCIPAL- FINOP AND BOARD MEMBER OF SANCTUARY SECURITIES INC. | 2603399 |
| WALTER, ROBERT ALAN | PRESIDENT AND CHAIRMAN OF THE BOARD FOR SANCTUARY SECURITIES INC. | 2507287 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 9 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
