Steven J. Lewis

VERITY ASSET MANAGEMENT

ABERDEEN, NC

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CRD#: 1526636

Professional summary

Steven James Lewis SR, who also goes by Steve Lewis, Steven James Lewis, is a registered financial advisor currently at VERITY ASSET MANAGEMENT located in Aberdeen, North Carolina and VERITY INVESTMENTS, INC. located in Durham, North Carolina.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Steven has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Lewis | Steven James 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.) VERITY FINANCIAL GROUP - 10/23/06 - 280 S Mangum Street, Suite 550, Durham, NC 27701 - Agent, Independent contractor for life & annuity products, Not Invt Rel, Insurance business, 40 hrs/mo; 40 hrs/mo (during trading hours). 2.) VERITY ASSET MGMT - 10/23/06 - 280 S Mangum Street, Suite 550, Durham, NC 27701 - Portfolio Manager, Portfolio manager, Invt Rel, Financial business, 160 hrs/mo; 120 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Lewis 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

July 29, 2011 - Present

VERITY ASSET MANAGEMENT

RIA

CRD#: 158667

ABERDEEN, NC

Current

October 27, 2006 - Present

VERITY INVESTMENTS, INC.

Office #1: 280 S. Mangum Street Suite 550, Durham, NC 27701

CRD#: 41527

Durham, NC

Current

November 11, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

October 31, 2006 - July 29, 2011

VERITY INVESTMENTS, INC.

RIA

CRD#: 41527

APEX, NC

Past

March 10, 2006 - October 25, 2006

THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 107773

RALEIGH, NC

Past

January 13, 2006 - August 7, 2006

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

January 21, 2005 - September 16, 2005

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

DURHAM, NC

Past

January 3, 2005 - September 16, 2005

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

December 17, 2004 - January 3, 2005

NCF FINANCIAL SERVICES, INC.

CRD#: 120471

DURHAM, NC

Past

July 22, 2002 - January 3, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

April 24, 2001 - January 3, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

November 26, 1990 - May 7, 1999

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

August 11, 1989 - October 3, 1990

CASTLE SECURITIES CORP.

CRD#: 16077

FREEPORT, NY

Past

April 19, 1989 - August 5, 1989

ESCALATOR SECURITIES, INC.

CRD#: 16985

Past

July 23, 1986 - March 10, 1989

INVESTORS CENTER, INC.

CRD#: 14670

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".

VERITY ASSET MANAGEMENT

ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT

CRD#: 158667 / SEC#: 801-66730

RIA

Registered Investment Advisory firm - (5/26/2006 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

Florida
(11/30/2023)

Georgia
(11/12/2025)

New York
(11/22/2006)

North Carolina
(10/30/2006)

IAR

North Carolina
(7/29/2011)

Virginia
(6/3/2014)

Virginia
(11/11/2025)

Washington
(11/13/2025)

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: 7/15/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/1986

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: 7/19/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VERITY ASSET MANAGEMENT

ENCOMPASS MORE | VERITY ASSET MANAGEMENT, INC. | VERITY ASSET MANAGEMENT

CRD#: 158667 / SEC#: 801-66730

RIA

Registered Investment Advisory firm - (5/26/2006 Approved)

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Contact information

Main Address

280 S Mangum St Ste 550, Durham, NC 27701-3676

Mailing Address

Phone number

(919) 490-6717

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (8/29/2025)

Regulatory assets under management

Total Number of Accounts	7,199
AUM (Assets Under Management)	$ 1,041,329,944

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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Advisor Monitoring

Firm Stability Insights

Steven J. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Lewis SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

VERITY INVESTMENTS, INC.

THE LEADERS GROUP, INC.

VERITY INVESTMENTS, INC.

THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

OSAIC SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

NCF FINANCIAL SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BNY MELLON SECURITIES CORPORATION

CASTLE SECURITIES CORP.

ESCALATOR SECURITIES, INC.

INVESTORS CENTER, INC.

Primary Firm SEC Registration

VERITY ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2002

Series 63

Date: 8/8/1986

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

FINRA

Current Firm

VERITY ASSET MANAGEMENT

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VERITY ASSET MANAGEMENT

TRUST BUT VERIFY

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