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Our Ethics 2017-03-10T06:06:13+00:00

Our Ethics

Financial advisor competence is critical. So is advice you can trust.

We prove we are a trustworthy Long Island advisory firm in three ways:

  • We describe the ethical standards of financial fiduciaries
  • We disclose any client complaints or regulatory actions
  • We make it easy to verify our compliance records at FINRA

Full Disclosure

Some advisors have a lot to hide. They do not volunteer any information that documents their ethical histories. They make it your responsibility to ask the right questions and know how to interpret their answers. The more they have to hide, the more they avoid providing this type of information.

We are just the opposite. We have nothing to hide. We make it easy to view Jeff’s compliance record.

Use my CRD number to view my compliance record at FINRA/BrokerCheck. For your information:

  • I have no disclosures on my compliance record
  • I have no criminal disclosures
  • I am a financial fiduciary
  • My CRD number is 2141917 {Jeffrey Charles Lewis}

About FINRA/BrokerCheck

Financial Industry Regulatory Authority (FINRA) maintains the compliance records for all professionals who currently sell investment products.

All you do is enter a CRD number in BrokerCheck to view a compliance record.

Why is this important? You have to be able to trust firms and professionals who will influence or control your financial decisions.

Have a question?
Email jlewis@northridgesecurities.com or call (631)546-5403.