Daniel M. Lewis

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CRD#: 2571765

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Miguel Lewis was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

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

April 6, 2010 - March 19, 2014

LEWIS FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 116344

RALEIGH, NC

Past

October 7, 2008 - April 12, 2013

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

RALEIGH, NC

Past

August 10, 2007 - October 8, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

November 29, 2006 - July 16, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHARLOTTE, NC

Past

September 11, 2006 - November 17, 2006

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

RALEIGH, NC

Past

February 7, 1995 - December 31, 1998

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

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 FINANCIAL MANAGEMENT, LLC

CRD#: 116344 / SEC#: 801-60666

RIA

Registered Investment Advisory firm - (10/5/2001 Approved)

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 65

Date: 12/18/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/14/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/9/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/21/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LEWIS FINANCIAL MANAGEMENT, LLC

CRD#: 116344 / SEC#: 801-60666

RIA

Registered Investment Advisory firm - (10/5/2001 Approved)

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Contact information

Main Address

1611 East Millbrook Road, Raleigh, NC 27609

Mailing Address

Phone number

(919) 872-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LFM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	128
AUM (Assets Under Management)	$ 431,163,158

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

Daniel M. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEWIS FINANCIAL MANAGEMENT, LLC

GROVE POINT INVESTMENTS, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

Primary Firm SEC Registration

LEWIS FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2008

Series 63

Date: 9/14/2006

Series 7

Date: 9/9/2006

Series 6

Date: 12/21/1994

Current Firm

LEWIS FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEWIS FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

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