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MATTHEW DAVID LEWIS
CRD#: 2954995
IA
B
WESTERN GROWERS FINANCIAL SERVICESCRD#: 115115 15525 Sand Canyon
IRVINE, CA 92618
IRVINE, CA 92618
0
Disclosures
27
Years of Experience
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State Registrations
B
Alabama 11/1/2019
B
Colorado 4/8/2005
B
Arizona 10/29/2002
B
Maryland 10/15/2013
IA
Arizona 5/31/2012
IA
North Carolina 8/6/2014
B
California 10/28/2002
B
Oregon 5/20/2008
IA
California 8/15/2006
B
Washington 8/15/2006
SRO Registrations
B
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IA
Registered with this firm since 8/15/2006
B
Registered with this firm since 2/11/2002
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2001 - 10/29/2002 | IRVINE, CA | |
B | 05/01/2001 - 10/29/2002 | PHOENIX, AZ | |
B | 01/06/1998 - 04/02/2001 | WEEHAWKEN, NJ |
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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.