HL
Harold L. Lewis
CETERA INVESTMENT ADVISERS LLC
Williamsburg, VA 23185
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CRD#: 1055500
HL
Professional summary
Harold Lloyd Lewis JR, who also goes by Hal Lewis Jr, Harold Lloyd Jr Lewis, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Williamsburg, Virginia and CETERA WEALTH SERVICES, LLC located in Williamsburg, Virginia.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Harold has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hal Lewis Jr | Harold Lloyd Jr Lewis
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) NAME OF ENTITY:HARWOOD & GARRETT, INC; Yes; 1317 JAMESTOWN RD STE 105; WILLIAMSBURG; VA; 23185; FIXED INSURANCE/DBA; PRESIDENT/OWNER; 2/1/1994; 100; 50; SALE AND SERVICE FIXED INSURANCE AND PROPERTY & CASUALTY PRODUCTS| (2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1317 JAMESTOWN RD STE 105; WILLIAMSBURG; VA; 23185; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 12/16/2016; 160; 160; SALE OF FIXED INSURNACE PRODUCTS| (3) NAME OF OTHER BUSINESS: HAROLD LEWIS JR; INVESTMENT RELATED: NO ADDRESS: 4006 #9 GOVERNOR'S SQ WILLIAMSBURG, VA 23188; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: RENTAL INCOME UNIT; 4. NAME OF OTHER BUSINESS: HAROLD L. LEWIS, JR; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 9/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENT OUT 1317 JAMESTOWN RD. UNIT 104, WILLIAMSBURG, VA; 5. NAME OF OTHER BUSINESS: WILLIAMSBURG OFFICE PARK; INVESTMENT RELATED: NO; ADDRESS: 1317 JAMESTOWN RD, STE 105, WILLIAMSBURG, VA 23185; NATURE OF BUSINESS: BOARD; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REVIEW BIDS & CONTRACTS FOR VENDORS PERFORMING WORK AT OFFICE PARK; OVERSEE COMPLETION OF VENDOR WORK; VOTE ON EXPENDITURES; FACILITATE BOARD MEETINGS; COMMUNICATE WITH THE OFFICE OWNERS OF UPCOMING EVENTS & ACTIVITIES;
CRS (Client Relationship Summary) - RIA
Click below to view Harold Lloyd Lewis JR's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1317 Jamestown Rd. Ste 105, Williamsburg, VA 23185RIA
CRD#: 105644
Williamsburg, VA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1317 Jamestown Rd. Ste 105, Williamsburg, VA 23185BD
CRD#: 13572
Williamsburg, VA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 14, 2018 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Williamsburg, VA
Past
December 16, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Williamsburg, VA
Past
December 7, 2012 - October 24, 2016
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Williamsburg, VA
Past
March 18, 1992 - December 7, 2012
INVESTORS SECURITY COMPANY, INC.
BD
CRD#: 2331
NEWPORT NEWS, VA
Past
February 5, 1991 - March 26, 1992
COMPREHENSIVE FINANCIAL SERVICES, INC.
BD
CRD#: 22710
Past
June 18, 1989 - December 31, 1990
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
January 4, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
March 31, 1983 - January 22, 1988
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
Nevada(1/3/2023)
RR
North Carolina(6/9/2021)
RR
Virginia(6/9/2021)
IAR
Virginia(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Williamsburg, VA 23185TRUST BUT VERIFY
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