James B. 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 Bennett Lewis, who also goes by James B Lewis, Jim Lewis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2024 - March 4, 2026
EMPOWER ADVISORY GROUP, LLC
April 4, 2022 - March 4, 2026
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
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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 |
|---|---|---|
| 02/26/2026 | ||
| 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.
