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Arthur Lewis
ARTHUR RICHARD LEWIS, Arthur R Lewis
CRD#: 6381756
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 ONE FINANCIAL PLAZA
SUITE 1200
FT. LAUDERDALE, FL 33394
SUITE 1200
FT. LAUDERDALE, FL 33394
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4/12/2023
Financial
Final
11/17/2022
Financial
Final
12/10/2021
Financial
Final
9/9/2021
Financial
Final
8/27/2020
Financial
Final
5/19/2020
Financial
Final
State Registrations
B
California 1/5/2022
B
New York 3/5/2024
B
Florida 1/5/2022
B
Ohio 7/1/2024
IA
Florida 1/6/2022
IA
Ohio 7/1/2024
B
Montana 1/5/2022
B
Oregon 3/2/2022
IA
Montana 3/7/2022
IA
Oregon 3/7/2022
IA
New York 2/28/2024
SRO Registrations
B
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IA
Registered with this firm since 1/6/2022
B
Registered with this firm since 1/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/15/2018 - 01/13/2022 | Plantation, FL | |
B | 10/09/2018 - 01/13/2022 | Plantation, FL | |
IA | 08/10/2016 - 10/07/2018 | FT LAUDERDALE, FL | |
B | 06/02/2016 - 10/07/2018 | FT LAUDERDALE, FL | |
B | 09/12/2014 - 04/21/2016 | BLOOMINGTON, IL |
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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.