Timothy 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.
Timothy Alan Lewis, who also goes by Tim Lewis, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1989. Timothy had worked at 5 firms and has passed the Series 63, SIE 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
August 8, 2024 - December 6, 2024
HERNDON PLANT OAKLEY, LTD.
April 19, 2007 - December 15, 2023
OSAIC INSTITUTIONS, INC.
March 7, 2005 - January 4, 2007
COLONIAL BROKERAGE, INC.
October 10, 2003 - February 11, 2005
TOUCHSTONE SECURITIES, INC.
March 22, 1989 - May 23, 2002
INVEST FINANCIAL CORPORATION
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
HERNDON PLANT OAKLEY, LTD.
CRD#: 44971 / SEC#: 801-55675, 8-50912
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 268 |
| AUM (Assets Under Management) | $ 92,904,841 |
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.
