Wendy O. Lewis

PHYSICIAN WEALTH ADVISORS

Salt Lake City, UT 84047

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CRD#: 1683943

Professional summary

Wendy Oliver Lewis is a registered financial advisor currently at PHYSICIAN WEALTH ADVISORS, INC. located in Salt Lake City, Utah.

Wendy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Wendy has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy Oliver 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

December 14, 2010 - Present

PHYSICIAN WEALTH ADVISORS, INC.

Office #1: 6820 South 900 East Suite 200, Salt Lake City, UT 84047

RIA

CRD#: 106043

Salt Lake City, UT

Past

August 20, 1987 - June 30, 2004

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

PHYSICIAN WEALTH ADVISORS, INC.

CRD#: 106043 / SEC#: 801-63664

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

Utah

Registered Investment Advisory firm - (10/20/2005 Terminated)

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

Utah
(12/14/2010)

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

IAR

Series 65

Date: 12/13/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/17/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/14/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PHYSICIAN WEALTH ADVISORS, INC.

CRD#: 106043 / SEC#: 801-63664

RIA

Registered Investment Advisory firm - (1/3/2005 Approved)

Utah

Registered Investment Advisory firm - (10/20/2005 Terminated)

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Contact information

Main Address

6820 South 900 East Suite 200, Salt Lake City, UT 84047

Mailing Address

Phone number

(801) 747-0800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PHYSICIAN WEALTH ADVISORS FORM ADV 2 BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	5,721
AUM (Assets Under Management)	$ 1,729,828,110

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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Wendy O. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wendy Oliver Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHYSICIAN WEALTH ADVISORS, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

PHYSICIAN WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/2010

Series 63

Date: 7/17/1987

Series 7

Date: 3/19/1988

Series 6

Date: 8/14/1987

Current Firm

PHYSICIAN WEALTH ADVISORS, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PHYSICIAN WEALTH ADVISORS, INC.

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