NL
Nancy E. Lewis-heliotes
MOMENTUM INDEPENDENT NETWORK
Napa, CA 94559
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CRD#: 2532011
NL
Professional summary
Nancy Elizabeth Lewis-heliotes, AIF®, who also goes by Nancy Heliotes, Nancy Elizabeth Lewis, is a registered financial advisor currently at MOMENTUM INDEPENDENT NETWORK INC. located in Napa, California.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Nancy has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy Heliotes | Nancy Elizabeth 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) FREE RUN WINE COMPANY. NOT INVESTMENT RELATED. NAPA, CA. PARTNER IN SPOUSE'S WINE BROKERAGE. I am a silent partner in my husbands business, In California a married person may not be a sole owner on a liquor license, so may name must appear and I much qualify to hold the license as my husband does. STARTED: 7/2010. 0 HRS PER MONTH. 2) Name of Business : Planet Blue Water ( not for Profit) AKA Bees For Trees Project; Non-investment related; Address: Napa , CA; Nature of the Business: Board Member/Officer/Director; Position/Title: Board Member/Officer/Director; Investment Related: No; Start Date: 02/01/2011 Hours per month devoted to this business: 1 Hours per month devoted to this business during trading hours: 0 Description of duties: co founder and board member / Treasurer I review project reports from the on site administrator to watch progress of replanting projects and Honey Farm growth as well as the in school education out reach programs ( teaching sustainable living) 3) Name of Business : The Lewis 2005 Trust Address: Napa, CA Nature of the Business: Trustee Position/Title: Sucessor Co-Trustee Investment Related:Yes Start Date: 01/01/2017 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Successor Trustee of Trust 4) Circle Oaks Homes Association; Non-investment related; Napa, CA; 501c(3) homeowners association; President of Fire Prevention Team; started 08/01/2001; 12 hrs/month; 4 hrs/month during business hours. 5) Napa Valley Park and Open Space; Non-investment related; Napa County CA; Guiding Board for Park and Open Space use in the Napa Valley; District 4 Chairperson; Started January 2021; 5 hrs/mo; zero hrs/mo during business hours;
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Elizabeth Lewis-heliotes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nancy Elizabeth Lewis-heliotes'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®
Experience
Current
October 27, 2020 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 1420 Third St. #1, Napa, CA 94559RIA
BD
CRD#: 17587
Napa, CA
Current
October 27, 2020 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 1420 Third St. #1, Napa, CA 94559RIA
BD
CRD#: 17587
Napa, CA
Past
October 2, 2017 - August 18, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
NAPA, CA
Past
September 25, 2017 - August 18, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
NAPA, CA
Past
January 17, 2017 - October 2, 2017
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
NAPA, CA
Past
March 31, 2016 - September 25, 2017
CWM, LLC
RIA
CRD#: 155344
Napa, CA
Past
June 1, 2015 - March 31, 2016
STRATEGIC WEALTH ADVISORS GROUP
RIA
CRD#: 140977
NAPA, CA
Past
May 26, 2015 - January 19, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
NAPA, CA
Past
May 29, 2007 - June 22, 2015
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NAPA, CA
Past
May 25, 2007 - June 22, 2015
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NAPA, CA
Past
December 14, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NAPA, CA
Past
May 10, 2004 - August 18, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
NAPA, CA
Past
October 3, 2002 - May 20, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
NAPA, CA
Past
October 3, 2002 - May 20, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
April 16, 1998 - September 23, 2002
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
May 15, 1995 - September 9, 1997
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
January 3, 1995 - March 31, 1995
WELLS FARGO SECURITIES INC.
BD
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".
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
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
RR
California(10/27/2020)
IAR
California(10/27/2020)
RR
Hawaii(10/27/2020)
IAR
Hawaii(6/18/2021)
IAR
Louisiana(6/14/2021)
RR
Louisiana(6/15/2021)
RR
Nevada(6/25/2021)
RR
Tennessee(10/27/2020)
RR
Washington(5/27/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MOMENTUM INDEPENDENT NETWORK INC.
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
CRD#: 17587 / SEC#: 801-60812, 8-35475
RIA
Registered Investment Advisory firm - SEC (1/18/2002 Approved)Alabama
Registered Investment Advisory firm - SEC (11/1/2004 Terminated)California
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (12/31/2002 Terminated)Georgia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (4/23/2002 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)New York
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/18/2002 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/5/2001 Terminated)South Carolina
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/19/2002 Terminated)Utah
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/18/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201
Phone number
(214) 859-1800
Established
Texas since 01/07/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
98
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | TREASURER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| MCCAFFREY, SCOTT EDWARD | MANAGING DIRECTOR - HEAD OF MOMENTUM INDEPENDENT NETWORK INC. | 3076398 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| MUSCHALEK, JOHN RICHARD | PRESIDENT | 2226859 |
| TEMPLE, WILLIAM BARRY | MUNICIPAL PRINCIPAL | 2357830 |
| WINGES, MARTIN BRADLEY | CEO | 1929509 |
| WINGES, MARTIN BRADLEY | CHAIRMAN OF THE BOARD | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 2,850 |
| AUM (Assets Under Management) | $ 1,337,377,801 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
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.
