Brian J. Wisniewski

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CRD#: 2434942

Professional summary

Brian Joseph Wisniewski was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial advisor and started their career in finance in 2002. Prior to being barred, Brian had worked at 7 firms, which includes LEWIS ASSET MANAGEMENT, CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 5, 2011 - June 14, 2011

LEWIS ASSET MANAGEMENT

RIA

CRD#: 7556

CONCORD, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/30/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 11/13/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/1/2002

General Securities 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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Firm Stability Insights

Brian J. Wisniewski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LEWIS ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/30/2002

Series 63

Date: 12/28/1993

Series 31

Date: 11/13/2002

Series 7

Date: 8/1/2002

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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