David D. Lewis

FIRST WASHINGTON

Seattle, WA 98121

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CRD#: 1004661

Professional summary

David Dixon Lewis is a registered financial advisor currently at FIRST WASHINGTON CORPORATION located in Seattle, Washington.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. David has worked at 6 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 12, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. LEWIS SERVES AS A TRUSTEE FOR THE E. MAXWELL FOUNDATION. THE MAXWELL FOUNDATION IS A SEATTLE-BASED FOUNDATION WHOSE PRIMARY FUNCTION IS TO ADMINISTER AND GRANT SCHOLARSHIPS TO WASHINGTON- BASED COLLEGE STUDENTS. OVERSIGHT OF INVESTMENTS IS INVOLVED. REQUIRES 3 HOURS A MONTH IN WORKING TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Dixon Lewis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 19, 2005 - Present

FIRST WASHINGTON CORPORATION

Office #1: 2001 6th Ave Ste 3400, Seattle, WA 98121

RIA

CRD#: 6681

Seattle, WA

Past

May 27, 2003 - November 29, 2013

FIRST WASHINGTON CORPORATION

CRD#: 6681

SEATTLE, WA

Past

June 23, 2000 - October 6, 2003

LEWIS INVESTMENTS, LLC

CRD#: 104175

SEATTLE, WA

Past

November 16, 1999 - June 23, 2000

FOSTER & BAKER, INC.

CRD#: 14272

SEATTLE, WA

Past

November 17, 1988 - May 26, 1998

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

November 23, 1985 - December 5, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 7, 1981 - November 21, 1985

FOSTER & MARSHALL INC.

CRD#: 321

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST WASHINGTON CORPORATION

CRD#: 6681 / SEC#: 801-66192, 8-17974

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2007 Terminated)

Terminated by SEC on 12/13/2013

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(1/19/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/15/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 9/26/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/19/1977

General Securities Representative Examination

Principal/Supervisory Exam

Series 12

Date: 7/10/1997

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 7/18/1989

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/9/1978

Registered Options Principal Examination

Current Firm

FIRST WASHINGTON CORPORATION

CRD#: 6681 / SEC#: 801-66192, 8-17974

RIA

Registered Investment Advisory firm - SEC (1/30/2006 Approved)

Washington

Registered Investment Advisory firm - SEC (1/3/2007 Terminated)

Terminated by SEC on 12/13/2013

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Contact information

Main Address

2001 6th Ave Ste 3400, Seattle, WA 98121

Mailing Address

Phone number

(206) 624-8320

Established

Washington since 11/20/1937

Firm type

Corporation

Fiscal year end

September

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST WASHINGTON CORP FORM ADV PART2A DATED 12/15/2024 (12/23/2024)

Direct owners and executive officers

Name	Position	CRD#
LEWIS INVESTORS, LLC	OWNER
LEWIS, DAVID DIXON	CHAIRMAN, ROSFP	1004661
LEWIS, DAVID DIXON	CHIEF COMPLIANCE OFFICER	1004661
MCINTYRE, TERESA ANN	SECRETARY/TREASURER	1697791
MCINTYRE, TERESA ANN	FINANCIAL OPERATIONS PRINCIPAL	1697791

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 427,515,633

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David D. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Dixon Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST WASHINGTON CORPORATION

LEWIS INVESTMENTS, LLC

FOSTER & BAKER, INC.

WELLS FARGO INVESTMENTS, LLC

LEHMAN BROTHERS INC.

FOSTER & MARSHALL INC.

Primary Firm SEC Registration

FIRST WASHINGTON CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2004

Series 63

Date: 1/8/1986

Series 55

Date: 9/26/2000

Series 7

Date: 11/19/1977

Series 12

Date: 7/10/1997

Series 24

Date: 7/18/1989

Series 4

Date: 1/9/1978

Current Firm

FIRST WASHINGTON CORPORATION

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

FIRST WASHINGTON CORPORATION

TRUST BUT VERIFY

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