Joseph F. Mcdonough

LEWIS ASSET MANAGEMENT

LAFAYETTE, CA 94549

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CRD#: 2313201

Professional summary

Joseph Frederick Mcdonough, who also goes by Joe Fred Mcdonough, Joe Frederick Mcdonough, is a registered financial advisor currently at LEWIS ASSET MANAGEMENT located in Lafayette, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Joseph has worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Fred Mcdonough | Joe Frederick Mcdonough

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 Joseph Frederick Mcdonough'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

May 2, 2025 - Present

LEWIS ASSET MANAGEMENT

Office #1: 985 Moraga Rd. Suite 207, Lafayette, CA 94549

RIA

CRD#: 143409

LAFAYETTE, CA

Past

September 29, 2006 - January 26, 2021

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PLAINSBORO, NJ

Past

September 29, 2006 - January 13, 2021

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

December 27, 2001 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

SAN FRANCISCO, CA

Past

May 9, 2001 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

February 25, 1999 - March 30, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

March 15, 1995 - November 25, 1997

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

January 22, 1993 - August 24, 1993

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

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".

LEWIS ASSET MANAGEMENT

LEWIS ASSET MANAGEMENT | LEWIS ASSET MANAGEMENT, LLC

CRD#: 143409 / SEC#: 801-119399

RIA

Registered Investment Advisory firm - (9/2/2020 Approved)

California

Registered Investment Advisory firm - (10/22/2020 Terminated)

Florida

Registered Investment Advisory firm - (9/22/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (5/28/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/24/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/22/2020 Terminated)

Virginia

Registered Investment Advisory firm - (9/23/2020 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

California
(5/2/2025)

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 65

Date: 2/13/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/6/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/28/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/19/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LEWIS ASSET MANAGEMENT

LEWIS ASSET MANAGEMENT | LEWIS ASSET MANAGEMENT, LLC

CRD#: 143409 / SEC#: 801-119399

RIA

Registered Investment Advisory firm - (9/2/2020 Approved)

California

Registered Investment Advisory firm - (10/22/2020 Terminated)

Florida

Registered Investment Advisory firm - (9/22/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (5/28/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (9/24/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/22/2020 Terminated)

Virginia

Registered Investment Advisory firm - (9/23/2020 Terminated)

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Contact information

Main Address

985 Moraga Rd. Suite 207, Lafayette, CA 94549

Mailing Address

Phone number

(925) 284-4033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 A LEWIS ASSET MANAGEMENT 143409 (1/29/2025)

Regulatory assets under management

Total Number of Accounts	542
AUM (Assets Under Management)	$ 214,315,704

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

Joseph F. Mcdonough

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Frederick Mcdonough's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

WELLS FARGO SECURITIES INC.

WELLS FARGO SECURITIES INC.

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

LEWIS ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/13/2025

Series 66

Date: 9/6/2001

Series 63

Date: 2/8/1993

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 7

Date: 3/28/1995

Series 6

Date: 1/19/1993

Current Firm

LEWIS ASSET MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEWIS ASSET MANAGEMENT

TRUST BUT VERIFY

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