Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Scott Lewis is a financial advisor with Jefferies LLC. Richard has been in the financial services industry since 1991. Richard's experience includes working with BB&T Securities, LLC, Scott & Stringfellow, LLC, RBS Securities Inc., Deutsche Bank Securities Inc., Goldman, Sachs & Co., Banc of America Securities LLC, Bancamerica Securities, Inc., CS First Boston Corporation, BA Securities, Inc., BA Investment Services, Inc., PaineWebber Incorporated, Westpac Pollock Government Securities Inc., CM&M Futures Inc., and Carroll McEntee & McGinley Incorporated. Richard has the Series 63, Series 10, Series 9, Series 8, Series 24, SIE, Series 7, and Series 5 licenses. Richard is registered to provide securities advice in 52 states.
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.
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2
GA
06/11/2013 - Present
Jefferies LLC (ATLANTA GA)
GA
01/02/2013 - 06/07/2013
BB&T SECURITIES, LLC (ALPHARETTA GA)
GA
08/17/2012 - 01/02/2013
SCOTT & STRINGFELLOW, LLC (ALPHARETTA GA)
GA
10/13/2006 - 06/04/2012
RBS SECURITIES INC. (ATLANTA GA)
GA
02/14/2001 - 10/17/2006
DEUTSCHE BANK SECURITIES INC. (ATLANTA GA)
NY
04/18/2000 - 11/08/2000
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
10/01/1998 - 05/09/2000
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
03/24/1994 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
NY
03/09/1994 - 03/15/1994
CS FIRST BOSTON CORPORATION (NEW YORK NY)
CA
10/01/1993 - 03/08/1994
BA SECURITIES, INC. (SAN FRANCISCO CA)
CA
09/16/1993 - 10/01/1993
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NJ
05/09/1990 - 08/29/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
05/04/1989 - 05/18/1990
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
NA
08/26/1988 - 01/17/1989
CM&M FUTURES INC.
NA
07/25/1987 - 01/17/1989
CARROLL MCENTEE & MCGINLEY INCORPORATED
BC
Issued 08/16/1993
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 09/24/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/23/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1988
Series 7 - General Securities Representative Examination
BC
Issued 12/09/1987
Series 5 - Interest Rate Options 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 Emerald, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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