YL
Yale J. Lewis
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CRD#: 1911734
YL
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.
Yale Jeffrey Lewis, who also goes by Yale J Lewis, Yale Lewis, was a registered financial professional .
Yale is a previously registered financial professional and started their career in finance in 1996. Yale had worked at 13 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Yale J Lewis | Yale 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)1/29/20- GLOBAL ADVISOR GROUP- DBA for LPL Business (entity for LPL business)- Inv. Related- Reston, VA- 160hrs/mth - 100%
2)1/29/20- Real Estate Rental - Property co-owner - Inv. Related- Vienna, VA- Start date 6/19/2017- 0hrs/mth.
3) 2/6/2020 - Private Advisor Group - DBA: (Hybrid) GLOBAL ADVISOR GROUP - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 1/14/2020 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 02/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
4) 2/6/2020 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date: 1/14/2020 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 02/2020. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 29, 2020 - November 3, 2023
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
Reston, VA
Past
January 29, 2020 - July 8, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
RESTON, VA
Past
June 27, 2017 - January 31, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
RESTON, VA
Past
June 16, 2017 - January 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
RESTON, VA
Past
January 11, 2017 - February 28, 2017
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
VIENNA, VA
Past
January 10, 2017 - February 28, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
VIENNA, VA
Past
March 5, 2014 - November 30, 2016
OSAIC FA, INC.
RIA
CRD#: 3978
Vienna, VA
Past
March 5, 2014 - November 30, 2016
OSAIC FA, INC.
BD
CRD#: 3978
Vienna, VA
Past
February 4, 2011 - November 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
OAKTON, VA
Past
February 4, 2011 - November 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
OAKTON, VA
Past
January 29, 2009 - March 23, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
FAIRFAX, VA
Past
January 29, 2009 - March 23, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
FAIRFAX, VA
Past
August 30, 2005 - January 15, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
MCLEAN, VA
Past
July 16, 2004 - January 15, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MCLEAN, VA
Past
June 12, 2000 - June 10, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
May 8, 1997 - December 4, 1998
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
September 13, 1996 - May 12, 1997
WORLD INVEST CORPORATION
BD
CRD#: 17223
DEERFIELD BEACH, FL
Past
April 4, 1996 - July 15, 1996
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 4, 1996 - July 15, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
PA
PRIVATE ADVISOR GROUP, LLC
1406 FINANCIAL | DIAMOND FINANCIAL GROUP | DFS ASSOCIATES INC. | DEROSIER AND ASSOCIATES | DEMPSEY & DRUMM | DELISANTI WEALTH MANAGEMENT | DEHAAN LINDSEY WEALTH MANAGEMENT | DCA FINANCIAL GROUP | DAVID M. CROOKS AND ASSOCIATES, LLC | DANIEL M ROSENTHAL FINANCIAL CONSULTANT | D.M. WALLACE & CO. | CYPRESS WEALTH PARTNERS, LLC | CUNNINGHAM WEALTH MANAGEMENT | CROSSROADS FINANCIAL | CRNA FINANCIAL PLANNING | CRESTWOOD FINANCIAL PARTNERS | CRESTWELL FINANCIAL PARTNERS | COX WEALTH MANAGEMENT | COVENANT FINANCIAL STRATEGIES INC. | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORTBURG RETIREMENT PLANNING | CORTBURG RETIREMENT ADVISORS, INC. | CORRIDOR FINANCIAL PLANNER | CORNERSTONE FINANCIAL | CORETEGIC CAPITAL | COPPOLA WEALTH MANAGEMENT | COPIA WEALTH ADVISORS | CONNECTIONS FINANCIAL ADVISORS | CONNECTICUT CASUALTY WEALTH PARTNERS | COMPREHENSIVE WEALTH MANAGEMENT INC | COMPREHENSIVE WEALTH MANAGEMENT GROUP | COMPREHENSIVE FINANCIAL PROFESSIONALS, INC. | COMPASS INVESTMENT ADVISORS LLC | COMPASS FINANCIAL GROUP, INC. | COMPASS CAPITAL MANAGEMENT | COMMONWEALTH PENSION MANAGEMENT, LLC | COMMONWEALTH INVESTMENT MANAGEMENT GROUP, LLC | COLTS NECK FINANCIAL | CODREA FINANCIAL SERVICES | CLINTON WEALTH MANAGEMENT LLC | CLIENT FIRST.FINANCIAL ADVICE | CLIENT FIRST FINANCIAL ADVICE | CLEARVIEW INVESTMENT PARTNERS | CLEARPOINT ADVISORS, LLC | CLEARPATH FINANCIAL PARTNERS | CLEAR SKIES FINANCIAL | CKW WEALTH ADVISORS, LLC | CISSNE WEALTH MANAGEMENT | CHOICEPOINT FINANCIAL LLC | CHOICE POINT ADVISORS, LLC | CHADWICK BAY FINANCIAL SERVICES | CE FINANCIAL | CBC FINANCIAL ADVISORS | CAVAN WEALTH MANAGEMENT, LLC | CARTER SHEVLIN FINANCIAL | CARR FINANCIAL GROUP | CARDINAL WEALTH PARTNERS | CARDINAL WEALTH GROUP | CAPWEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPRIOTTI & COMPANY | CAPITAL WEALTH COUNSEL | CAPITAL PLANNING WEALTH MANAGEMENT | CANOGA WEALTH MANAGEMENT, LLC | CAFOUREK FINANCIAL SERVICES | CAFOUREK AND ASSOC. | CADIA PRIVATE CLIENT | BYAS WEALTH MANAGEMENT | BUTLER FINANCIAL GROUP | BUTERA WEALTH MANAGEMENT LLC | BROOKWOOD ADVISORS | BROADWAY GRAHAM WEALTH PARTNERS | BRIGHTWORKS WEALTH MANAGEMENT | BRIGHTSIDE ADVISORS | BRIAN WETTLAUFER INVESTMENT MANAGEMENT INC | BRIAN WETTLAUFER INVESTMENT ADVICE | BRENTON STRANSKY WEALTH MANAGEMENT | BREAKWATER WEALTH MANAGEMENT | BRANDYWINE WEALTH MANAGEMENT | BOTKIN FAMILY WEALTH MANAGEMENT | BOOKMARK ADVISORS | BONNIE CAPITAL | BOHALL FINANCIAL GROUP | BLUE WATER FINANCIAL LLC | BLUE SPARROW GROUP | BLEAKLEY FINANCIAL GROUP | BLEAKLEY ADVISORY GROUP | BLEAKLEY WEALTH MANAGEMENT | BLEAKLEY WEALTH ADVISORS | BLACKSTONE VALLEY WEALTH MANAGEMENT, LLC | BLACK DIAMOND FINANCIAL GROUP, LLC | BINGHAMTON FINANCIAL GROUP | BIG TREE INVESTMENT GROUP | BG WEALTH MANAGEMENT | BERKSHIRE RETIREMENT STRATEGIES | BECKER FINANCIAL ADVISORS | BECK BODE WEALTH MANAGEMENT | BEASLEY WEALTH MANAGEMENT | BD & ASSOCIATES | BCG FINANCIAL SERVICES LTD | BAYVIEW FINANCIAL GROUP | BATTAGLINI & CO., PC | BARBER FINANCIAL MANAGEMENT, LLC | BALLAST FINANCIAL, LLC | BADGER FINANCIAL GROUP | B. JOHNSON & ASSOC., LTD. | AWA INVESTMENT ADVISORS | AUDENT GLOBAL ASSET MANAGEMENT | AUDENT FAMILY WEALTH ADVISORS LLC | ATTLEBORO WEALTH MANAGEMENT | ATLAS WEALTH STRATEGIES | ATLANTIC WEALTH LLC | ASCENT WEALTH MANAGEMENT | ARTEMIS WEALTH ADVISORS | ARONOV WEALTH MANAGEMENT | ARISTON ADVISORY GROUP, LLC | ARETI FINANCIAL, INC | ARCURI ASSOCIATES WEALTH MANAGEMENT | ARCURI & ASSOCIATES | APEX FINANCIAL PLANNING | APD WEALTH MANAGEMENT, LLC | ANTOINE WILLIAMS & ASSOCIATES FINANCIAL SERVICES | ANGELO & ASSOCIATES FINANCIAL PLANNING GROUP | ANDERSON SCHWARZ FINANCIAL LTD | ANDERSON FINANCIAL LTD | ANCHOR FINANCIAL ASSOCIATES, LLC | AMERICAN FINANCIAL MANAGEMENT GROUP | ALPERT FINANCIAL | ALNA FINANCIAL GROUP LLC | ALLEGIANCE FINANCIAL GROUP | ALBANY FINANCIAL GROUP | AK FINANCIAL GROUP | AGING ISSUES MANAGEMENT | AGING ISSUES INFO | ADVANTAGE INVESTMENT ADVISORS | ADVANTAGE FINANCIAL GROUP | ADVANCED WEALTH ADVISORY, LLC | ACUMEN WEALTH ADVISORS | ABM FINANCIAL LLC | ABILITY WEALTH GROUP, LLC | A&C MANAGEMENT GROUP | 54 FINANCIAL GROUP | 435 FINANCIAL | 20/20 FINANCIAL...
CRD#: 155216 / SEC#: 801-72060
RIA
Registered Investment Advisory firm - (1/3/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
PA
PRIVATE ADVISOR GROUP, LLC
1406 FINANCIAL | DIAMOND FINANCIAL GROUP | DFS ASSOCIATES INC. | DEROSIER AND ASSOCIATES | DEMPSEY & DRUMM | DELISANTI WEALTH MANAGEMENT | DEHAAN LINDSEY WEALTH MANAGEMENT | DCA FINANCIAL GROUP | DAVID M. CROOKS AND ASSOCIATES, LLC | DANIEL M ROSENTHAL FINANCIAL CONSULTANT | D.M. WALLACE & CO. | CYPRESS WEALTH PARTNERS, LLC | CUNNINGHAM WEALTH MANAGEMENT | CROSSROADS FINANCIAL | CRNA FINANCIAL PLANNING | CRESTWOOD FINANCIAL PARTNERS | CRESTWELL FINANCIAL PARTNERS | COX WEALTH MANAGEMENT | COVENANT FINANCIAL STRATEGIES INC. | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORTBURG RETIREMENT PLANNING | CORTBURG RETIREMENT ADVISORS, INC. | CORRIDOR FINANCIAL PLANNER | CORNERSTONE FINANCIAL | CORETEGIC CAPITAL | COPPOLA WEALTH MANAGEMENT | COPIA WEALTH ADVISORS | CONNECTIONS FINANCIAL ADVISORS | CONNECTICUT CASUALTY WEALTH PARTNERS | COMPREHENSIVE WEALTH MANAGEMENT INC | COMPREHENSIVE WEALTH MANAGEMENT GROUP | COMPREHENSIVE FINANCIAL PROFESSIONALS, INC. | COMPASS INVESTMENT ADVISORS LLC | COMPASS FINANCIAL GROUP, INC. | COMPASS CAPITAL MANAGEMENT | COMMONWEALTH PENSION MANAGEMENT, LLC | COMMONWEALTH INVESTMENT MANAGEMENT GROUP, LLC | COLTS NECK FINANCIAL | CODREA FINANCIAL SERVICES | CLINTON WEALTH MANAGEMENT LLC | CLIENT FIRST.FINANCIAL ADVICE | CLIENT FIRST FINANCIAL ADVICE | CLEARVIEW INVESTMENT PARTNERS | CLEARPOINT ADVISORS, LLC | CLEARPATH FINANCIAL PARTNERS | CLEAR SKIES FINANCIAL | CKW WEALTH ADVISORS, LLC | CISSNE WEALTH MANAGEMENT | CHOICEPOINT FINANCIAL LLC | CHOICE POINT ADVISORS, LLC | CHADWICK BAY FINANCIAL SERVICES | CE FINANCIAL | CBC FINANCIAL ADVISORS | CAVAN WEALTH MANAGEMENT, LLC | CARTER SHEVLIN FINANCIAL | CARR FINANCIAL GROUP | CARDINAL WEALTH PARTNERS | CARDINAL WEALTH GROUP | CAPWEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPRIOTTI & COMPANY | CAPITAL WEALTH COUNSEL | CAPITAL PLANNING WEALTH MANAGEMENT | CANOGA WEALTH MANAGEMENT, LLC | CAFOUREK FINANCIAL SERVICES | CAFOUREK AND ASSOC. | CADIA PRIVATE CLIENT | BYAS WEALTH MANAGEMENT | BUTLER FINANCIAL GROUP | BUTERA WEALTH MANAGEMENT LLC | BROOKWOOD ADVISORS | BROADWAY GRAHAM WEALTH PARTNERS | BRIGHTWORKS WEALTH MANAGEMENT | BRIGHTSIDE ADVISORS | BRIAN WETTLAUFER INVESTMENT MANAGEMENT INC | BRIAN WETTLAUFER INVESTMENT ADVICE | BRENTON STRANSKY WEALTH MANAGEMENT | BREAKWATER WEALTH MANAGEMENT | BRANDYWINE WEALTH MANAGEMENT | BOTKIN FAMILY WEALTH MANAGEMENT | BOOKMARK ADVISORS | BONNIE CAPITAL | BOHALL FINANCIAL GROUP | BLUE WATER FINANCIAL LLC | BLUE SPARROW GROUP | BLEAKLEY FINANCIAL GROUP | BLEAKLEY ADVISORY GROUP | BLEAKLEY WEALTH MANAGEMENT | BLEAKLEY WEALTH ADVISORS | BLACKSTONE VALLEY WEALTH MANAGEMENT, LLC | BLACK DIAMOND FINANCIAL GROUP, LLC | BINGHAMTON FINANCIAL GROUP | BIG TREE INVESTMENT GROUP | BG WEALTH MANAGEMENT | BERKSHIRE RETIREMENT STRATEGIES | BECKER FINANCIAL ADVISORS | BECK BODE WEALTH MANAGEMENT | BEASLEY WEALTH MANAGEMENT | BD & ASSOCIATES | BCG FINANCIAL SERVICES LTD | BAYVIEW FINANCIAL GROUP | BATTAGLINI & CO., PC | BARBER FINANCIAL MANAGEMENT, LLC | BALLAST FINANCIAL, LLC | BADGER FINANCIAL GROUP | B. JOHNSON & ASSOC., LTD. | AWA INVESTMENT ADVISORS | AUDENT GLOBAL ASSET MANAGEMENT | AUDENT FAMILY WEALTH ADVISORS LLC | ATTLEBORO WEALTH MANAGEMENT | ATLAS WEALTH STRATEGIES | ATLANTIC WEALTH LLC | ASCENT WEALTH MANAGEMENT | ARTEMIS WEALTH ADVISORS | ARONOV WEALTH MANAGEMENT | ARISTON ADVISORY GROUP, LLC | ARETI FINANCIAL, INC | ARCURI ASSOCIATES WEALTH MANAGEMENT | ARCURI & ASSOCIATES | APEX FINANCIAL PLANNING | APD WEALTH MANAGEMENT, LLC | ANTOINE WILLIAMS & ASSOCIATES FINANCIAL SERVICES | ANGELO & ASSOCIATES FINANCIAL PLANNING GROUP | ANDERSON SCHWARZ FINANCIAL LTD | ANDERSON FINANCIAL LTD | ANCHOR FINANCIAL ASSOCIATES, LLC | AMERICAN FINANCIAL MANAGEMENT GROUP | ALPERT FINANCIAL | ALNA FINANCIAL GROUP LLC | ALLEGIANCE FINANCIAL GROUP | ALBANY FINANCIAL GROUP | AK FINANCIAL GROUP | AGING ISSUES MANAGEMENT | AGING ISSUES INFO | ADVANTAGE INVESTMENT ADVISORS | ADVANTAGE FINANCIAL GROUP | ADVANCED WEALTH ADVISORY, LLC | ACUMEN WEALTH ADVISORS | ABM FINANCIAL LLC | ABILITY WEALTH GROUP, LLC | A&C MANAGEMENT GROUP | 54 FINANCIAL GROUP | 435 FINANCIAL | 20/20 FINANCIAL...
CRD#: 155216 / SEC#: 801-72060
RIA
Registered Investment Advisory firm - (1/3/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
305 Madison Avenue, Morristown, NJ 07960
Mailing Address
305 Madison Avenue Po Box 1820, Morristown, NJ 07962
Phone number
(973) 538-7010
Established
Firm type
Fiscal year end
# of Employees
746
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 137,723 |
| AUM (Assets Under Management) | $ 41,370,460,253 |
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.
