Cody J. Lewis

PROACTIVE WEALTH MANAGEMENT

Draper, UT 84020

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CRD#: 2936963

Professional summary

Cody James Lewis, who also goes by Cody J Lewis, is a registered financial advisor currently at PROACTIVE WEALTH MANAGEMENT, INC. located in Draper, Utah.

Cody is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Cody has worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cody J 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) 01/2009 - PRESENT, PROACTIVE WEALTH CONCEPTS, Inc.; DBA for INSURANCE; LIFE, HEALTH, DISABILITY, LTC, Less than 10% of business time; Same address.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody James Lewis'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®

None

Experience

Current

September 26, 2019 - Present

PROACTIVE WEALTH MANAGEMENT, INC.

Office #1: 12525 S Fort Street, Draper, UT 84020

RIA

CRD#: 301232

Draper, UT

Past

May 29, 2018 - April 11, 2019

ARS INVESTMENT ADVISORS, INC.

RIA

CRD#: 293750

BOUNTIFUL, UT

Past

October 5, 2016 - June 28, 2018

ALLEGIS INVESTMENT ADVISORS, LLC

RIA

CRD#: 157314

SOUTH JORDAN, UT

Past

September 12, 2014 - October 27, 2016

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

SOUTH JORDAN, UT

Past

November 18, 2013 - April 30, 2015

CG ADVISORY SERVICES

RIA

CRD#: 110929

HASLETT, MI

Past

February 19, 2013 - February 22, 2013

CG ADVISORY SERVICES

RIA

CRD#: 110929

SOUTH JORDAN, UT

Past

January 13, 2010 - November 18, 2013

SPC

RIA

CRD#: 110692

SALT LAKE CITY, UT

Past

September 18, 2008 - November 18, 2013

PARKLAND SECURITIES, LLC

CRD#: 115368

SOUTH JORDAN, UT

Past

September 11, 2007 - September 24, 2008

NEW ENGLAND SECURITIES

RIA

CRD#: 615

SANDY, UT

Past

September 7, 2007 - September 24, 2008

NEW ENGLAND SECURITIES

CRD#: 615

SANDY, UT

Past

April 17, 2002 - August 29, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MIDVALE, UT

Past

April 9, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 9, 2002 - August 29, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MIDVALE, UT

Past

September 10, 1997 - April 2, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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

Utah
(9/26/2019)

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: 3/14/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/13/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/9/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROACTIVE WEALTH MANAGEMENT, INC.

CRD#: 301232 / SEC#:

Utah

Registered Investment Advisory firm - (9/26/2019 Approved)

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Contact information

Main Address

12525 S Fort Street, Draper, UT 84020

Mailing Address

Phone number

(801) 826-3985

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	65
AUM (Assets Under Management)	$ 8,854,739

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

Cody J. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cody James Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARS INVESTMENT ADVISORS, INC.

ALLEGIS INVESTMENT ADVISORS, LLC

BROOKSTONE WEALTH ADVISORS, LLC

CG ADVISORY SERVICES

CG ADVISORY SERVICES

SPC

PARKLAND SECURITIES, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 3/14/2000

Series 63

Date: 9/12/1997

Series 7

Date: 11/13/2001

Series 6

Date: 9/9/1997

Current Firm

PROACTIVE WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROACTIVE WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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