John G. Lewis

J. W. COLE ADVISORS

Arlington, MA 02476

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CRD#: 1944997

Professional summary

John G Lewis III, CFP®, who also goes by John Greenough Lewis III, John Lewis, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Arlington, Massachusetts and J.W. COLE FINANCIAL, INC. located in Arlington, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Greenough Lewis Iii | John 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) FIXED INSURANCE; INVESTMENT RELATED; 89 RHINECLIFF ST ARLINGTON, MA 02476; INSURANCE PLANNING; FMO; SERVICE EXISTING TERM LIFE INSURANCE POLICIES, FIXED TRADITIONAL AND HEALTH/DISABILITY INSURANCE; SERVICE EXISTING LONG-TERM CARE INSURANCE POLICIES. (2) PANGAEA CAPITAL STRATEGIES, LLC; INVESTMENT RELATED; 89 RHINECLIFF ST ARLINGTON, MA 02476; NAME OF DBA; 40 HOURS/WEEK ALL DURING TRADING; DBA TITLE. (3) Wightman Tennis Center; Tennis Club; Not investment related; 100 Brown St, Weston, MA 02493; Fitness committee Chairman; Start 9/24/24; 2 hours/month, 0 hour/month during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John G Lewis III's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

February 6, 2018 - Present

J. W. COLE ADVISORS, INC.

Office #1: 89 Rhinecliff Street, Arlington, MA 02476

RIA

CRD#: 112294

Arlington, MA

Current

January 29, 2018 - Present

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Arlington, MA

Past

September 1, 2016 - February 2, 2018

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

ARLINGTON, MA

Past

September 1, 2016 - February 2, 2018

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

ARLINGTON, MA

Past

May 4, 2005 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

ARLINGTON, MA

Past

May 3, 2005 - September 1, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

ARLINGTON, MA

Past

November 5, 2003 - December 9, 2005

WEALTH CONTROL ADVISORS, LLC

RIA

CRD#: 122901

NEWTON, MA

Past

March 20, 2001 - May 18, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

December 20, 2000 - February 7, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 20, 2000 - February 7, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

March 13, 1998 - January 18, 2001

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(1/3/2022)

Arizona
(1/29/2018)

California
(1/29/2018)

Florida
(1/29/2018)

Maine
(1/29/2018)

Maryland
(1/29/2018)

Massachusetts
(1/29/2018)

IAR

Massachusetts
(2/6/2018)

Michigan
(1/29/2018)

New Hampshire
(1/29/2018)

New York
(1/29/2018)

Oregon
(3/8/2018)

South Carolina
(2/7/2025)

Vermont
(1/29/2018)

Virginia
(1/29/2018)

Washington
(1/29/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/12/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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.

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Advisor Monitoring

Firm Stability Insights

John G. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John G Lewis III's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

WEALTH CONTROL ADVISORS, LLC

MML INVESTORS SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/10/1998

SIE

Date: 10/1/2018

Series 7

Date: 3/10/1999

Series 6

Date: 3/12/1998

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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