Tommy G. Lewis

FIRST FINANCIAL GROUP

Raleigh, NC 27609

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CRD#: 1964734

Professional summary

Tommy Glynn Lewis II is a registered financial advisor currently at FIRST FINANCIAL GROUP located in Raleigh, North Carolina.

Tommy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Tommy has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.FIRST FINANCIAL GROUP, 1100 LOGGER COURTS, RALEIGH, NC 27609, 100% OWNER, START 01/01/94, FIXED INSURANCE\SECURITIES, 40HR/WK. 2.ISLAND HOPPER CHARTERS, LLC, 110 LOGGER CT B-101, RALEGH, NC 27609, START 01/01/11, BOAT CAPTAIN & MERCHANDISE/MUSIC SALES, 2HR/WK, FEES. 3. EAST CAROLINA UNIVERSITY,GREENVILLE, NC, START 1/1/11, BOARD OF TRUSTEES, .25HR/WK. 4. AKEA LLC, 2816 CRYSTAL OAKS LN, RALEIGH, NC, START 01/01/11, FOOD SUPPLEMENT SALES, 1HR/WK, $2,000/YR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tommy Glynn Lewis II'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®

None

Experience

Current

July 10, 2012 - Present

FIRST FINANCIAL GROUP

Office #1: 1100 Logger Ct #b101, Raleigh, NC 27609

RIA

CRD#: 134006

Raleigh, NC

Past

January 1, 2004 - July 9, 2012

CETERA ADVISORS LLC

RIA

CRD#: 10299

RALEIGH, NC

Past

January 1, 2004 - July 9, 2012

CETERA ADVISORS LLC

CRD#: 10299

RALEIGH, NC

Past

December 31, 2001 - January 1, 2004

IFG ADVISORY SERVICES INC

RIA

CRD#: 105316

RALEIGH, NC

Past

December 17, 1999 - January 2, 2004

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

June 25, 1998 - January 31, 2000

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

November 18, 1994 - June 25, 1998

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

May 4, 1990 - October 11, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

May 4, 1990 - October 11, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

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".

FIRST FINANCIAL GROUP

FIRST FINANCIAL GROUP | FIRST FINANCIAL GROUP CORPORATION

CRD#: 134006 / SEC#: 801-112777

RIA

Registered Investment Advisory firm - (4/5/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/5/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (4/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/10/2018 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(7/10/2012)

IAR

Texas
(8/1/2016)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/18/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/16/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/3/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 4/1/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/17/2000

General Securities Principal Examination

Current Firm

FIRST FINANCIAL GROUP

FIRST FINANCIAL GROUP | FIRST FINANCIAL GROUP CORPORATION

CRD#: 134006 / SEC#: 801-112777

RIA

Registered Investment Advisory firm - (4/5/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/5/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (4/10/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/10/2018 Terminated)

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Contact information

Main Address

1100 Logger Ct #b101, Raleigh, NC 27609

Mailing Address

Phone number

(919) 876-4926

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST FINANCIAL GROUP ADV BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	910
AUM (Assets Under Management)	$ 272,814,750

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

Tommy G. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tommy Glynn Lewis II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

IFG ADVISORY SERVICES INC

IFG NETWORK SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FIRST FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 6/18/1999

Series 63

Date: 5/3/1990

Series 7

Date: 3/16/1998

Series 6

Date: 5/3/1990

Series 51

Date: 4/1/2003

Series 24

Date: 3/17/2000

Current Firm

FIRST FINANCIAL GROUP

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST FINANCIAL GROUP

TRUST BUT VERIFY

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