Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lewis? Claim Your ProfileLewis Phillips is a financial professional with over 25 years of experience in the financial services industry. Lewis is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. where Lewis has been employed since 2013. Previously, Lewis was employed by CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, WM FINANCIAL SERVICES, INC., THOMAS F. WHITE & CO., INCORPORATED and H.J. MEYERS & CO., INC.. Lewis holds the Series 63, 65, 7, and SIE licenses. Lewis is a registered investment advisor in California and Massachusetts and specializes in portfolio management for individuals and businesses, pension consulting, and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
01/01/2025 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OAKLAND CA)
CA
05/29/2007 - 03/04/2013
CITIGROUP GLOBAL MARKETS INC. (ALBANY CA)
CA
07/08/2002 - 05/29/2007
CITICORP INVESTMENT SERVICES (ALBANY CA)
CA
04/25/2001 - 07/18/2002
WM FINANCIAL SERVICES, INC. (IRVINE CA)
CA
01/01/1999 - 02/16/2001
THOMAS F. WHITE & CO., INCORPORATED (SAN FRANCISCO CA)
NY
09/18/1997 - 10/05/1998
H.J. MEYERS & CO., INC. (ROCHESTER NY)
CA
07/29/1997 - 08/30/1997
SMITH CULVER INVESTMENTS (SAN FRANCISCO CA)
NY
05/08/1996 - 07/29/1997
H.J. MEYERS & CO., INC. (ROCHESTER NY)
IA
Issued 07/28/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lewis Phillips is the right advisor for you? Invested Better is here to help.
