Lewin M. Williams

FIRST TRUST ADVISORS LP

RENO, NV

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CRD#: 1136440

Professional summary

Lewin Mcdonald Williams SR, who also goes by Lewin Mcdonald Williams, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Reno, Nevada and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Lewin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Lewin has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lewin Mcdonald Williams

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.

OTHER BUSINESS NAME: LAS VEGAS BALLOON TOURS. LOCATION: LAS VEGAS, NV. NATURE OF BUSINESS: HOT AIR BALLOON RIDES. POSITION OR TITLE: LICENSED/COMMERCIAL HOT AIR BALLOON PILOT. RESPONSIBILITIES: HOT AIR BALLOON RIDES. INVESTMENT RELATED: NO. HOURS PER MONTH: 1 HOUR PER MONTH/ SEASONAL / NONE DURING MARKET HOURS. OTHER BUSINESS NAME: RENTAL PROPERTIES. LOCATION: NEW ORLEANS, LA. NATURE OF BUSINESS: REAL ESTATE. POSITION OR TITLE: OWNER. RESPONSIBILITIES: LANDLORD. INVESTMENT-RELATED: NO. HOURS PER MONTH: 0 HOURS PER MONTH/0 HOURS DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lewin Mcdonald Williams SR'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

December 13, 2011 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

RENO, NV

Current

December 18, 2001 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

February 27, 2003 - March 19, 2008

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

LISLE, IL

Past

January 8, 1998 - November 7, 2001

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

September 12, 1996 - June 18, 1997

GREAT PACIFIC SECURITIES

CRD#: 29251

COSTA MESA, CA

Past

December 6, 1995 - August 22, 1996

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818

IRVINE, CA

Past

February 22, 1990 - May 8, 1995

LIBERTY CAPITAL MARKETS, INC.

CRD#: 16534

Past

September 22, 1988 - February 27, 1990

ALLISON, ROSENBLUM & HANNAHS, INC.

CRD#: 22375

Past

June 24, 1983 - September 27, 1988

UNITED CAPITAL CORPORATION

CRD#: 8268

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 TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 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.

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

Colorado
(8/28/2013)

Illinois
(12/18/2001)

IAR

Illinois
(12/13/2011)

Nevada
(1/15/2003)

New Mexico
(3/20/2008)

Texas
(2/19/2009)

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

IAR

Series 65

Date: 3/22/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/22/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/10/1994

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/1/1984

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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.

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Lewin M. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lewin Mcdonald Williams SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

FIRST TRUST ADVISORS LP

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

GREAT PACIFIC SECURITIES

MISCHLER FINANCIAL GROUP, INC.

LIBERTY CAPITAL MARKETS, INC.

ALLISON, ROSENBLUM & HANNAHS, INC.

UNITED CAPITAL CORPORATION

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/2002

Series 63

Date: 8/22/1984

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1983

Series 53

Date: 5/10/1994

Series 24

Date: 10/1/1984

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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