Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hal? Claim Your ProfileHal Frederick Lewis is an Investment Advisor Representative with Stephens. Hal has been in the industry since October 1980. Hal is registered in 27 states and holds multiple securities licenses, including Series 3, 5, 7, 8, 9, 10, 15, 63 and 65. Hal has experience in various financial areas, including financial planning, pension consulting and portfolio management. Stephens is a financial services firm that provides investment banking, wealth management, and institutional services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
TN
04/04/2014 - Present
Stephens (MEMPHIS TN)
TN
06/01/2009 - 02/28/2011
MORGAN STANLEY SMITH BARNEY (MEMPHIS TN)
TN
08/28/1992 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MEMPHIS TN)
NY
10/02/1980 - 09/15/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/03/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/15/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1988
Series 3 - National Commodity Futures Examination
BC
Issued 08/26/1988
Series 15 - Foreign Currency Options Examination
BC
Issued 12/11/1982
Series 5 - Interest Rate Options Examination
BC
Issued 09/22/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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