Michael M. Lewis

FAMILY LEGACY FINANCIAL SOLUTIONS

CARY, NC 27513

Some features on this profile are disabled

CRD#: 1063715

Professional summary

Michael Masin Lewis, who also goes by Michael Lewis, Mike Lewis, is a registered financial advisor currently at FAMILY LEGACY FINANCIAL SOLUTIONS, LLC located in Cary, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Michael has worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Lewis | Mike 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) AMERICAN RED CROSS OF EASTERN NORTH CAROLINA, 100 N PEARTREE LANE, RALEIGH, NC, BOARD MEMBER OF A NON- PUBLIC ENTITY- NIR, 07/01/21, 1 HR/WEEK- 0/TRADING HR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Masin 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

February 5, 2024 - Present

FAMILY LEGACY FINANCIAL SOLUTIONS, LLC

Office #1: 6501 Weston Pkwy Suite #300, Cary, NC 27513

RIA

CRD#: 314351

CARY, NC

Past

January 4, 2019 - February 2, 2024

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Cary, NC

Past

November 16, 2018 - February 2, 2024

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Cary, NC

Past

January 2, 2014 - May 23, 2018

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

NEW YORK, NY

Past

November 14, 2007 - January 7, 2014

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

March 30, 1989 - January 19, 1996

SCOTIA CAPITAL (USA) INC.

CRD#: 2739

NEW YORK, NY

Past

September 24, 1982 - August 10, 1984

J.P. MORGAN SECURITIES LLC

CRD#: 79

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".

FAMILY LEGACY FINANCIAL SOLUTIONS, LLC

CRD#: 314351 / SEC#: 801-132388

RIA

Registered Investment Advisory firm - (4/11/2025 Approved)

North Carolina

Registered Investment Advisory firm - (4/24/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/28/2021 Conditional Restricted)

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

North Carolina
(2/5/2024)

IAR

Texas
(2/5/2024)

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

Series 63

Date: 7/18/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 5/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/19/2013

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/13/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/7/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 3/6/1989

Financial and Operations Principal Examination

Current Firm

FAMILY LEGACY FINANCIAL SOLUTIONS, LLC

CRD#: 314351 / SEC#: 801-132388

RIA

Registered Investment Advisory firm - (4/11/2025 Approved)

North Carolina

Registered Investment Advisory firm - (4/24/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/28/2021 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6501 Weston Pkwy Suite #300, Cary, NC 27513

Mailing Address

Phone number

(919) 379-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A - FIRM DISCLOSURE BROCHURE WITH APPENDIX-1 (5/7/2025)

Regulatory assets under management

Total Number of Accounts	756
AUM (Assets Under Management)	$ 140,000,000

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.

Similar Advisors

Daniel Conklin

HUNTER STREET INVESTMENT ADVISORS LLC

IAR

Apex, NC

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

Laird Hepburn

BSG ADVISERS

IAR

Apex, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael M. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Masin Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

BNY MELLON CAPITAL MARKETS, LLC

PERSHING LLC

SCOTIA CAPITAL (USA) INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

FAMILY LEGACY FINANCIAL SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/18/2014

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 5/23/2018

Series 55

Date: 3/19/2013

Series 7

Date: 11/13/2007

Series 24

Date: 3/7/2008

Series 27

Date: 3/6/1989

Current Firm

FAMILY LEGACY FINANCIAL SOLUTIONS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FAMILY LEGACY FINANCIAL SOLUTIONS, LLC

TRUST BUT VERIFY

Similar Advisors