Individual Firm
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LEWIS TODD LEVINE
L TODD LEVINE, TODD LEVINE
CRD#: 1275367
IA
B
MORGAN STANLEYCRD#: 149777 South Orange, NJ
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12/29/1999
Customer Dispute
Settled
State Registrations
B
Arizona 2/23/2017
B
Montana 11/19/2020
B
California 2/17/2017
B
New Hampshire 9/5/2017
B
Colorado 2/17/2017
B
New Jersey 2/17/2017
B
Connecticut 2/17/2017
IA
New Jersey 2/21/2017
B
Delaware 2/17/2017
B
New York 2/17/2017
B
Florida 2/17/2017
B
North Carolina 2/17/2017
B
Georgia 2/17/2017
B
Pennsylvania 2/17/2017
B
Hawaii 3/22/2017
B
Rhode Island 2/17/2017
B
Illinois 2/23/2017
B
South Carolina 2/23/2017
B
Kansas 2/25/2025
B
Texas 2/17/2017
B
Maine 2/17/2017
IA
Texas 2/23/2017
B
Maryland 2/21/2017
B
Vermont 9/26/2023
B
Massachusetts 2/17/2017
B
Virginia 2/23/2017
B
Minnesota 2/23/2017
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/19/2009 - 02/21/2017 | SHORT HILLS, NJ | |
B | 06/19/2009 - 02/21/2017 | SHORT HILLS, NJ | |
IA | 06/01/2009 - 06/22/2009 | SHORT HILLS, NJ | |
B | 06/01/2009 - 06/22/2009 | SHORT HILLS, NJ | |
IA | 04/02/2007 - 06/01/2009 | SHORT HILLS, NJ | |
B | 04/02/2007 - 06/01/2009 | SHORT HILLS, NJ | |
IA | 06/03/2005 - 04/02/2007 | SHORT HILLS, NJ | |
B | 06/03/2005 - 04/02/2007 | SHORT HILLS, NJ | |
IA | 10/18/2002 - 06/20/2005 | SHORT HILLS, NJ | |
B | 04/29/1994 - 06/20/2005 | NEW YORK, NY | |
B | 08/31/1989 - 05/26/1994 | FLORHAM PARK, NJ | |
B | 01/16/1989 - 02/14/1989 | ||
B | 02/13/1987 - 05/27/1987 | ||
B | 07/26/1984 - 02/03/1986 |
SHORT HILLS, NJ
06/19/2009 - 02/21/2017
SHORT HILLS, NJ
06/19/2009 - 02/21/2017
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.