KL
Katherine E. Lewis
CETERA INVESTMENT ADVISERS LLC
Wauwatosa, WI 53226
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CRD#: 1876190
KL
Professional summary
Katherine Elizabeth Lewis, who also goes by Kate Lewis, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wauwatosa, Wisconsin and CETERA WEALTH SERVICES, LLC located in Milwaukee, Wisconsin.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Katherine has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kate Lewis
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.
1. NAME OF OTHER BUSINESS: MILWAUKEE MONTESSORI SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 345 95TH ST MILWAUKEE, WI, 53226; NATURE OF BUSINESS: BOARD; START DATE: 12/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PRESIDE AT BOARD MEETINGS, EX OFFICIO COMMITTEE MEMBER WITH VOTING RIGHTS. SIGN DOCUMENT AS REQUIRED THE BOARD OF TRUSTEES, PERFORM DUTIES INCIDENTAL TO DUTIES OF THE BOARD PRESIDENT; 2. NAME OF OTHER BUSINESS: LEWIS FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2017 POSITION/TITLE/RELATIONSHIP: CEO AND FINANCIAL ADVISER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: MANAGE FINANCIAL SERVICES PRACTICE AND ACT AS FINANCIAL ADVISER 3. NAME OF OTHER BUSINESS: LEWIS FINANCIAL GROUP MILWAUKEE, LLC ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: OFFICE SPACE LEASE; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 45; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: LEASE OFFICE SPACE FOR DBA, SIGN LEASE, PAY RENT AND MAINTAIN SPACE;
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Elizabeth Lewis's 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10700 W Research Dr., Ste. 3, Wauwatosa, WI 53226Office #2: 10700 W Research Drive Suite 100, Milwaukee, WI 53226RIA
CRD#: 105644
Wauwatosa, WI
Current
February 17, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10700 W Research Drive Suite 100, Milwaukee, WI 53226BD
CRD#: 13572
Milwaukee, WI
Past
February 17, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 29, 2012 - February 23, 2022
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MILWAUKEE, WI
Past
June 11, 2012 - February 23, 2022
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MILWAUKEE, WI
Past
March 1, 2011 - January 25, 2012
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
MILWAUKEE, WI
Past
March 1, 2011 - January 25, 2012
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
MILWAUKEE, WI
Past
January 31, 2011 - March 9, 2011
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MILWAUKEE, WI
Past
January 31, 2011 - March 9, 2011
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MILWAUKEE, WI
Past
January 8, 2009 - January 31, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
MILWAUKEE, WI
Past
March 10, 1998 - September 21, 2000
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
HARTFORD, CT
Past
July 18, 1994 - January 31, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
MILWAUKEE, WI
Past
November 25, 1988 - August 14, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/18/2025)
RR
Arizona(2/17/2022)
RR
Arkansas(2/17/2022)
RR
California(2/17/2022)
RR
Florida(2/17/2022)
RR
Georgia(2/17/2022)
RR
Hawaii(2/17/2022)
RR
Illinois(2/17/2022)
RR
Iowa(2/17/2022)
RR
Maryland(2/17/2022)
RR
Minnesota(9/27/2024)
RR
Montana(2/17/2022)
RR
Nevada(2/17/2022)
RR
New York(2/17/2022)
RR
Oregon(2/17/2022)
RR
Pennsylvania(2/17/2022)
RR
South Carolina(4/19/2022)
RR
South Dakota(1/10/2025)
RR
Tennessee(1/10/2024)
RR
Texas(10/15/2025)
IAR
Texas(10/15/2025)
RR
Wisconsin(2/17/2022)
IAR
Wisconsin(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wauwatosa, WI 53226TRUST BUT VERIFY
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