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JL

James K. Lewis

NATIONAL WEALTH MANAGEMENT GROUP
Westfield, IN
Some features on this profile are disabled
CRD#: 2551144
JL

Professional summary

James K Lewis III, who also goes by James Kermit Lewis, Jim Lewis, is a registered financial advisor currently at NATIONAL WEALTH MANAGEMENT GROUP, LLC located in Westfield, Indiana.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Kermit Lewis | Jim 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James K Lewis III'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

January 5, 2022 - Present

NATIONAL WEALTH MANAGEMENT GROUP, LLC

RIA
CRD#: 174883
Westfield, IN
Past

March 29, 2019 - December 31, 2021

NATIONAL WEALTH MANAGEMENT GROUP, LLC

RIA
CRD#: 174883
Indianapolis, IN
Past

January 25, 2019 - February 8, 2019

LPL FINANCIAL LLC

RIA
CRD#: 6413
INDIANAPOLIS, IN
Past

March 22, 2017 - March 29, 2019

INDEPENDENT FINANCIAL PARTNERS

RIA
CRD#: 125112
Indianapolis, IN
Past

September 11, 2015 - April 12, 2017

SBC WEALTH MANAGEMENT

RIA
CRD#: 122433
INDIANAPOLIS, IN
Past

September 9, 2015 - January 14, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
INDIANAPOLIS, IN
Past

October 1, 2012 - September 24, 2015

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
INDIANAPOLIS, IN
Past

October 1, 2012 - September 24, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
INDIANAPOLIS, IN
Past

June 15, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
INDIANAPOLIS, IN
Past

June 15, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
INDIANAPOLIS, IN
Past

February 27, 2007 - June 12, 2012

EDWARD JONES

RIA
CRD#: 250
NOBLESVILLE, IN
Past

October 29, 2004 - June 12, 2012

EDWARD JONES

BD
CRD#: 250
NOBLESVILLE, IN
Past

February 15, 2002 - November 23, 2004

FIRST NATIONAL INVESTMENTS, INC.

BD
CRD#: 25865
KOKOMO, IN
Past

March 10, 2000 - January 8, 2002

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

November 25, 1994 - February 22, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC

CRD#: 174883 / SEC#: 801-80983

RIA
Registered Investment Advisory firm - (2/19/2015 Approved)

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
Indiana
(1/5/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/19/2007
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/9/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/23/1994
General Securities Representative Examination

Current Firm

NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC

CRD#: 174883 / SEC#: 801-80983

RIA
Registered Investment Advisory firm - (2/19/2015 Approved)
PREMIUM
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Contact information

Main Address
11260 Chester Road Suite 250, Cincinnati, OH 45246-0002
Mailing Address
Phone number
(513) 772-2592
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NWMG WRAP PROGRAM BROCHURE (9/19/2025)
NWMG PART 2A DISCLOSURE BROCHURE (9/19/2025)

Regulatory assets under management

Total Number of Accounts1,066
AUM (Assets Under Management)$ 325,727,820

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.

Company Information

NATIONAL WEALTH MANAGEMENT GROUP, LLC

CRD#: 174883Westfield, IN

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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