John D. Lewis

REGATTA FINANCIAL LLC

GAITHERSBURG, MD

Some features on this profile are disabled

CRD#: 2151234

Professional summary

John David Lewis is a registered financial advisor currently at REGATTA FINANCIAL LLC located in Gaithersburg, Maryland.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. John has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John David 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®

None

Experience

Current

January 10, 2025 - Present

REGATTA FINANCIAL LLC

RIA

CRD#: 333067

GAITHERSBURG, MD

Past

October 11, 2024 - December 31, 2024

REGATTA FINANCIAL LLC

RIA

CRD#: 333067

GAITHERSBURG, MD

Past

October 13, 2020 - May 9, 2023

PRIVATE CLIENT SERVICES, LLC

RIA

CRD#: 120222

ROCKVILLE, MD

Past

September 14, 2020 - May 9, 2023

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

ROCKVILLE, MD

Past

August 16, 2017 - August 18, 2020

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

Gaithersburg, MD

Past

August 16, 2017 - August 18, 2020

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Gaithersburg, MD

Past

November 12, 2015 - July 5, 2017

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

MARRIOTTSVILLE, MD

Past

November 12, 2015 - July 5, 2017

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

MARRIOTTSVILLE, MD

Past

December 23, 2014 - July 14, 2015

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Bethesda, MD

Past

December 10, 2014 - July 14, 2015

PRUCO SECURITIES, LLC.

CRD#: 5685

Bethesda, MD

Past

October 1, 2012 - November 1, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HUNT VALLEY, MD

Past

August 10, 2012 - November 1, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HUNT VALLEY, MD

Past

March 7, 2001 - December 31, 2004

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

October 28, 1999 - March 7, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 14, 1996 - October 29, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

November 9, 1994 - June 9, 1995

CHEVY CHASE FINANCIAL SERVICES

CRD#: 14894

BETHESDA, MD

Past

October 19, 1992 - November 3, 1994

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

July 29, 1992 - September 24, 1992

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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

Maryland
(1/10/2025)

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 66

Date: 9/27/2012

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/30/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/1992

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: 8/9/2012

General Securities Representative Examination

Current Firm

REGATTA FINANCIAL LLC

CRD#: 333067 / SEC#:

Maryland

Registered Investment Advisory firm - (10/11/2024 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Gaithersburg, MD

Mailing Address

Phone number

(917) 385-1244

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 2,450,251

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John D. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

REGATTA FINANCIAL LLC

PRIVATE CLIENT SERVICES, LLC

PRIVATE CLIENT SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GROVE POINT INVESTMENTS, LLC

MORGAN STANLEY DW INC.

CITICORP INVESTMENT SERVICES

CHEVY CHASE FINANCIAL SERVICES

WS GRIFFITH SECURITIES, INC.

FIRST UNION CAPITAL MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2012

Series 65

Date: 1/30/1995

Series 63

Date: 3/6/1992

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2012

Current Firm

REGATTA FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REGATTA FINANCIAL LLC

TRUST BUT VERIFY

Similar Advisors