James D. Lewis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James David Lewis, who also goes by David Lewis, J. David Lewis, James D Lewis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2020 - May 31, 2022
THE MATHER GROUP, LLC
March 31, 2004 - June 26, 2020
RESOURCE ADVISORY SERVICES, INC.
August 23, 1984 - September 24, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
THE MATHER GROUP, LLC
CRD#: 156005 / SEC#: 801-72156
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE MATHER GROUP, LLC
CRD#: 156005 / SEC#: 801-72156
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,285 |
| AUM (Assets Under Management) | $ 11,710,038,016 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/25/2025 | ||
| 08/28/2023 | ||
| 01/26/2023 |
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.
