Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claudia? Claim Your ProfileClaudia Sophia Lewis is a financial professional with over 27 years of experience in the securities industry. Claudia is currently registered with BNP Paribas Securities Corp. Claudia has held previous positions at BNP PARIBAS PRIME BROKERAGE, INC., BANC OF AMERICA SECURITIES LLC, MORGAN STANLEY & CO., INCORPORATED, WATERHOUSE SECURITIES, INC., DIME SECURITIES OF NY, INC., and MONY SECURITIES CORP.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NJ
10/06/2008 - Present
BNP Paribas Securities Corp. (Jersey City NJ)
NY
05/04/2007 - 08/11/2016
BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)
NY
09/24/2001 - 10/01/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
11/19/1998 - 08/29/2001
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NE
10/31/1995 - 08/19/1998
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NY
02/27/1995 - 10/24/1995
DIME SECURITIES OF NY, INC. (BROOKLYN NY)
NY
09/15/1994 - 02/09/1995
MONY SECURITIES CORP. (NEW YORK NY)
BC
Issued 08/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/05/2001
Series 24 - General Securities Principal Examination
BC
Issued 09/18/1997
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/16/1995
Series 7 - General Securities Representative Examination
BC
Issued 09/14/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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