Steven A. 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.
Steven Anthony Lewis, who also goes by Steve Lewis, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2013 - October 2, 2017
J.P. MORGAN SECURITIES LLC
November 4, 2013 - October 2, 2017
J.P. MORGAN SECURITIES LLC
June 19, 2008 - June 2, 2012
CETERA INVESTMENT ADVISERS LLC
June 19, 2008 - June 2, 2012
CETERA FINANCIAL SPECIALISTS LLC
April 12, 2007 - July 27, 2007
NORTHERN TRUST SECURITIES, INC.
April 12, 2007 - July 27, 2007
NORTHERN TRUST SECURITIES, INC.
February 6, 2006 - April 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 6, 2006 - April 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 26, 2004 - March 19, 2004
SCOTTRADE, INC.
April 30, 2003 - December 8, 2003
INSIGHT SECURITIES, INC.
May 17, 2002 - December 31, 2002
HARRISDIRECT LLC
May 1, 2002 - March 4, 2003
HARRISDIRECT LLC
December 9, 2000 - May 23, 2002
HARRIS INVESTORLINE INC.
July 13, 1993 - December 9, 2000
HARRIS INVESTORLINE
May 21, 1993 - July 20, 1993
MARINER FINANCIAL SERVICES, INC.
November 30, 1992 - April 21, 1993
LEHMAN BROTHERS INC.
August 23, 1991 - January 13, 1992
GRUNTAL & CO., L.L.C.
April 9, 1991 - July 25, 1991
CIBC WORLD MARKETS CORP.
March 9, 1990 - April 9, 1991
LEHMAN BROTHERS INC.
May 23, 1989 - December 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 22, 1988 - May 5, 1989
WADDELL & REED
August 2, 1988 - November 28, 1988
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
