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WL

William A. Lewis

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CRD#: 2909849
WL

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.

William Austin Lewis IV was a registered financial advisor .

William is a previously registered financial advisor and started their career in finance in 1999. William had worked at 7 firms and has passed the Series 63, Series 65 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

October 19, 2011 - August 7, 2012

MONARCH CAPITAL GROUP, LLC

BD
CRD#: 47815
NEW YORK, NY
Past

September 1, 2009 - October 28, 2009

MONARCH CAPITAL GROUP, LLC

BD
CRD#: 47815
NEW YORK, NY
Past

September 16, 2004 - February 25, 2009

BRIMBERG & CO.

BD
CRD#: 1315
NEW YORK, NY
Past

January 13, 2003 - August 27, 2004

PUGLISI & CO.

BD
CRD#: 19451
NEW YORK, NY
Past

July 11, 2002 - January 7, 2003

THOMPSON DAVIS & CO., INC.

BD
CRD#: 41353
RICHMOND, VA
Past

May 1, 2002 - July 11, 2002

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
RICHMOND, VA
Past

March 9, 2002 - July 11, 2002

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 28, 2001 - March 9, 2002

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

October 7, 1999 - March 28, 2001

BRANCH, CABELL & CO., INC.

BD
CRD#: 6820
RICHMOND, VA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 9/28/1999
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/14/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/1999
General Securities Representative Examination

Current Firm

MC
MONARCH CAPITAL GROUP, LLC
MONARCH CAPITAL GROUP, LLC

CRD#: 47815 / SEC#: , 8-51911

New Jersey
Registered Investment Advisory firm - SEC (8/26/2004 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
370 Lexington Avenue, Suite 308 Suite 2240, New York, NY 10017
Mailing Address
370 Lexington Avenue, Suite 308, New York, NY 10017
Phone number
(212) 808-4333
Established
New York since 01/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
8

FINRA licenses (40 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MONARCH HOLDINGS, LLCMANAGEMENT COMPANY
COHEN, EDWARD BARRYFINOP
POTTER, MICHAEL DAVIDCHAIRMAN, CEO, CFO, CCO2417023

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

MONARCH CAPITAL GROUP, LLC

CRD#: 47815

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