Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lewis? Claim Your ProfileLewis Assaley has been active in the financial services industry since 1984. Lewis is currently a registered representative with Morgan Stanley. Lewis has held previous positions with Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Wachovia Securities, LLC, and Prudential Securities Incorporated. Lewis holds the Series 3, 5, 7, 8, 9, 10, 15, 63, and 65 securities licenses. In addition to securities licenses, Lewis is also a member of the University of Cincinnati Department of Economics PhD Advisory Board. Lewis has been registered as a broker-dealer in Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Indiana, Kansas, Kentucky, Maryland, Massachusetts, Michigan, Mississippi, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington, and West Virginia. Lewis specializes in providing financial planning, asset allocation advice, portfolio management for individuals, businesses, and investment companies, and selection of other advisers.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
OH
06/01/2009 - Present
Morgan Stanley (Cincinnati OH)
OH
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CINCINNATI OH)
OH
07/25/2003 - 04/02/2007
MORGAN STANLEY DW INC. (CINCINNATI OH)
MO
07/01/2003 - 08/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
02/24/1984 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/14/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/27/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/24/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1997
Series 15 - Foreign Currency Options Examination
BC
Issued 02/18/1997
Series 5 - Interest Rate Options Examination
BC
Issued 03/25/1985
Series 3 - National Commodity Futures Examination
BC
Issued 02/18/1984
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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