Lewis L. Scruggs

LANIER FINANCIAL GROUP LLC

Athens, GA 30601

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CRD#: 2583606

Professional summary

Lewis Lanier Scruggs III, who also goes by Lewis Lanier Scruggs, is a registered financial advisor currently at LANIER FINANCIAL GROUP LLC located in Athens, Georgia.

Lewis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Lewis has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lewis Lanier Scruggs

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.

LICENSED INDEPENDENT INSURANCE AGENT, INVESTMENT RELATED, ATHENS, GA, INSURANCE SALES, 0 HOURS PER MONTH, 0 HOURS DURING TRADING HOURS, SELLING INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lewis Lanier Scruggs 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

October 19, 2023 - Present

LANIER FINANCIAL GROUP LLC

Office #1: 490 N. Milledge Avenue, Athens, GA 30601

RIA

CRD#: 152945

Athens, GA

Past

July 2, 1998 - October 31, 2023

SYNOVUS SECURITIES, INC.

RIA

CRD#: 14023

ATHENS, GA

Past

May 14, 1998 - October 31, 2023

SYNOVUS SECURITIES, INC.

CRD#: 14023

ATHENS, GA

Past

March 10, 1995 - January 22, 1996

NEW ENGLAND SECURITIES

CRD#: 615

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".

LANIER FINANCIAL GROUP LLC

HRICZO, NATHAN J. | LANIER FINANCIAL GROUP LLC

CRD#: 152945 / SEC#: 801-129903

RIA

Registered Investment Advisory firm - (4/18/2024 Approved)

Georgia

Registered Investment Advisory firm - (4/26/2024 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2024 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

Georgia
(10/19/2023)

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: 6/1/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/9/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LANIER FINANCIAL GROUP LLC

HRICZO, NATHAN J. | LANIER FINANCIAL GROUP LLC

CRD#: 152945 / SEC#: 801-129903

RIA

Registered Investment Advisory firm - (4/18/2024 Approved)

Georgia

Registered Investment Advisory firm - (4/26/2024 Terminated)

Ohio

Registered Investment Advisory firm - (4/19/2024 Terminated)

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Contact information

Main Address

490 N. Milledge Avenue, Athens, GA 30601

Mailing Address

P.o Box 6694, Athens, GA 30604

Phone number

(404) 882-2628

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE ADV 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	661
AUM (Assets Under Management)	$ 208,370,810

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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Lewis L. Scruggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lewis Lanier Scruggs III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNOVUS SECURITIES, INC.

SYNOVUS SECURITIES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

LANIER FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/11/1998

Series 6

Date: 3/9/1995

Current Firm

LANIER FINANCIAL GROUP LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LANIER FINANCIAL GROUP LLC

TRUST BUT VERIFY

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