Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven David Lewis is a financial advisor with over 25 years of experience in the financial services industry. Steven is currently registered with RBC Capital Markets, LLC and is licensed to provide investment advice and securities transactions in multiple states. Steven has held previous roles at Wells Fargo Clearing Services, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Thomas James Associates, Inc. and Chatfield Dean & Co., Inc. Steven has a strong track record of success in helping clients achieve their financial goals. Steven specializes in providing financial planning, portfolio management and other advisory services to individuals, businesses, and institutions.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
05/06/2019 - Present
RBC Capital Markets, LLC (LA JOLLA CA)
CA
10/14/2010 - 05/10/2019
WELLS FARGO CLEARING SERVICES, LLC (CARLSBAD CA)
CA
06/01/2009 - 10/22/2010
MORGAN STANLEY SMITH BARNEY (CARLSBAD CA)
CA
02/21/1995 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CARLSBAD CA)
NY
11/02/1994 - 01/31/1995
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
CO
10/20/1994 - 11/03/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IA
Issued 11/08/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1994
Series 7 - General Securities Representative 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Steven Lewis is the right advisor for you? Invested Better is here to help.
