James B. Lewis
Professional summary
James Bennett Lewis, who also goes by James B Lewis, Jim Lewis, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Lincolnshire, Illinois and EMPOWER FINANCIAL SERVICES, INC. located in Grafton, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Bennett Lewis's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
April 4, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
April 10, 2012 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 29, 2011 - December 8, 2011
VALIC FINANCIAL ADVISORS, INC.
August 16, 2007 - July 25, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 2, 2006 - August 8, 2006
RIVERNORTH CAPITAL MANAGEMENT, LLC
October 3, 2001 - October 6, 2005
JOHN HANCOCK DISTRIBUTORS LLC
February 9, 2000 - July 5, 2000
DWS DISTRIBUTORS, INC.
December 14, 1993 - April 13, 1995
MESIROW FINANCIAL, INC.
October 6, 1992 - January 1, 1994
MESIROW INVESTMENT SERVICES, INC.
June 16, 1988 - October 8, 1992
UBS FINANCIAL SERVICES INC.
May 25, 1988 - June 14, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
