NATHAN & LEWIS SECURITIES, INC.

NEW YORK, NY

212-413-4536

SEC #801-39011

Total AUM

$408.3M

Employees

376

Clients

Firm overview

Client Breakdown by AUM

AUM previous 5 years

Smooth Smooth / Detailed

Business

Principal Address

RICHARD BERENGER-MANAGING DIRECTOR OF COMPLIANCE
260 MADISON AVENUE
NEW YORK
NY 10016
USA

Operating Hours

9:00 AM - 5:00 PM
Monday - Friday

Phone

212-413-4536

Financials

Total AUM

$408.3M

Accounts

2,035

Discretionary

$60.9M

Accounts

167

Non-Discretionary

$347.4M

Accounts

1,868

Clients

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None reported

Services

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Services Offered

Financial PlanningIndividual Portfolio ManagementInstitutional Portfolio ManagementPension Consulting

Compensation Types

Charges CommissionCharges Fixed FeeCharges Hourly FeeCharges Percentage AUM

Compliance

Disclosures

Dismissed Civil Action (Settlement)Other Regulator False Statement/DishonestyOther Regulator Order (Past 10 Years)Pending Civil ProceedingSEC/CFTC Order EntrySEC/CFTC Violation FindingSRO Rule Violation

State Registrations

AKALARCACOCTDEFLGAHIIAIDILINKSLAMDMEMIMNMOMSMTNCNHNJNMNVNYOHOKPRRISCSDTNTXVAVTWAWIWV

Affiliates

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Affiliates

Reported 6 business affiliates.

Claimed Affiliates

Reported as an affiliate by 1 other business.