Walter Dewayne Lewis
Professional Summary
Walter Dewayne Lewis is a registered financial advisor currently at PIPER SANDLER & CO. located in Birmingham, Alabama. Walter is registered as a RR (Registered Representative) and started their career in finance in 1988. Walter has worked at 4 firms and has passed the Series 63, SIE, Series 50, Series 52, Series 22 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
EDWARD JONES
RBC CAPITAL MARKETS, LLC
KOVACK ADVISORS, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
EDWARD JONES
RBC CAPITAL MARKETS, LLC
KOVACK ADVISORS, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
EDWARD JONES
RBC CAPITAL MARKETS, LLC
KOVACK ADVISORS, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
EDWARD JONES
RBC CAPITAL MARKETS, LLC
KOVACK ADVISORS, INC.
Years of Experience
38 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
EDWARD JONES
RBC CAPITAL MARKETS, LLC
KOVACK ADVISORS, INC.
Current Firm
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
Contact Information
Main Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401Mailing Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401Phone Number
(612) 303-6000Established
Delaware since 07/28/1969Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,402SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | — |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; PRINCIPAL FINANCIAL OFFICER; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| QUANT, SHAWN CHRISTIAN | PRINCIPAL OPERATIONS OFFICER | 2786518 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory Assets Under Management
Total Number of Accounts
1AUM (Assets Under Management)
$1,284,404,458Disclosures
Regulatory Event
141Civil Event
1Arbitration
50Similar Advisors
LPL FINANCIAL LLC
EDWARD JONES
RBC CAPITAL MARKETS, LLC
KOVACK ADVISORS, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
EDWARD JONES
RBC CAPITAL MARKETS, LLC
KOVACK ADVISORS, INC.
Primary Firm SEC Registration
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
State Registrations and Notice Filings
(3/12/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Aug 2017About the Series 50 examSeries 22 — Direct Participation Programs Representative Examination
Passed Oct 1988About the Series 22 examSRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
EDWARD JONES
RBC CAPITAL MARKETS, LLC
KOVACK ADVISORS, INC.
CRS (Client Relationship Summary) - BD
Click below to view Walter Dewayne Lewis's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
EDWARD JONES
RBC CAPITAL MARKETS, LLC
KOVACK ADVISORS, INC.