Wayne E. Lewis

LEWIS FINANCIAL

San Luis Obispo, CA 93401

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CRD#: 1037214

Professional summary

Wayne Evan Lewis is a registered financial advisor currently at LEWIS FINANCIAL, LLC located in San Luis Obispo, California and LPL FINANCIAL LLC located in San Luis Obispo, California.

Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Wayne has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 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.

1. 10/3/2006 - NON-VARIABLE INSURANCE DBA - LEWIS FINANCIAL - SAN LUIS OBISPO, CA. 2. 03/27/2024 - Lewis Financial - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 02/05/2024 - 140 Hours Per Month/ 80 Hours During Trading - I provide investment advisory services through Lewis Financial, an independent investment advisor firm. I started this business activity in 2/2024. I expect to spend approximately 140 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 01/09/2009 - SLO Riders - Non-Profit Board Member

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Evan 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

May 28, 2014 - Present

LEWIS FINANCIAL, LLC

Office #1: 3590 Sacramento Drive Suite 140, San Luis Obispo, CA 93401

RIA

CRD#: 170324

San Luis Obispo, CA

Current

October 18, 2005 - Present

LPL FINANCIAL LLC

Office #1: 3590 Sacramento Dr., Ste 140, San Luis Obispo, CA 93401

RIA

CRD#: 6413

SAN LUIS OBISPO, CA

Past

October 18, 2005 - November 2, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN LUIS OBISPO, CA

Past

October 15, 2002 - October 19, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 15, 1997 - October 19, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN LUIS OBISPO, CA

Past

July 14, 1986 - December 24, 1986

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

CRD#: 11176

Past

January 17, 1983 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

January 17, 1983 - October 19, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

LEWIS FINANCIAL, LLC

LEWIS FINANCIAL | LEWIS, WAYNE E. | LEWIS FINANCIAL, LLC

CRD#: 170324 / SEC#: 801-132016

RIA

Registered Investment Advisory firm - (6/10/2025 Approved)

California

Registered Investment Advisory firm - (7/13/2025 Terminated)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/20/2005)

IAR

California
(5/28/2014)

Colorado
(10/18/2017)

Nevada
(9/24/2020)

Ohio
(6/29/2023)

Oregon
(7/21/2016)

Utah
(3/19/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/14/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 2/15/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/13/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/3/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LEWIS FINANCIAL, LLC

LEWIS FINANCIAL | LEWIS, WAYNE E. | LEWIS FINANCIAL, LLC

CRD#: 170324 / SEC#: 801-132016

RIA

Registered Investment Advisory firm - (6/10/2025 Approved)

California

Registered Investment Advisory firm - (7/13/2025 Terminated)

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Contact information

Main Address

3590 Sacramento Dr. Ste 140, San Luis Obispo, CA 93401

Mailing Address

Phone number

(805) 548-0900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A BROCHURE (2025) (1/22/2025)

WRAP PROGRAM BROCHURE (2025) (1/22/2025)

WAYNE E. LEWIS - ADV 2B (2025) (1/22/2025)

WYATT E. LEWIS - ADV 2B (2025) (1/22/2025)

ROBERT HILTZ - ADV 2B (2025) (1/22/2025)

Regulatory assets under management

Total Number of Accounts	301
AUM (Assets Under Management)	$ 108,112,077

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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Wayne E. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Evan Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LEWIS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/14/2010

SIE

Date: 10/1/2018

Series 7

Date: 12/14/1985

Series 22

Date: 2/15/1984

Series 6

Date: 1/13/1983

Series 24

Date: 8/3/1995

FINRA

Current Firm

LEWIS FINANCIAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEWIS FINANCIAL, LLC

TRUST BUT VERIFY

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