ML
Matthew D. Lewis
WESTERN GROWERS FINANCIAL SERVICES
Irvine, CA 92618
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CRD#: 2954995
ML
Professional summary
Matthew David Lewis is a registered financial advisor currently at WESTERN GROWERS FINANCIAL SERVICES, INC. located in Irvine, California.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Matthew has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
WESTERN GROWERS
(A TRADE ORGANIZATION) IS A NOT FOR PROFIT AGRICULTURAL TRADE ASSOCIATION THAT REPRESENTS GROWERS, PACKERS AND SHIPPERS IN CA & AZ.
DIRECTOR OF INVESTMENTS - PROVIDING WESTERN GROWERS AND ITS SUBSIDIARIES GENERAL INVESTMENT FUNCTIONS; PROVIDING FINANCIAL AND ECONOMIC INFORMATION TO HELP FACILITATE CORPORATE CASH INVESTMENTS.
20 HOURS PER MONTH
10% OF INCOME
CRS (Client Relationship Summary) - RIA
Click below to view Matthew David Lewis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew David 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®
NoneExperience
Current
August 15, 2006 - Present
WESTERN GROWERS FINANCIAL SERVICES, INC.
Office #1: 15525 Sand Canyon, Irvine, CA 92618Office #2: 6501 Irvine Center Drive Ste 100, Irvine, CA 92618RIA
BD
CRD#: 115115
Irvine, CA
Current
February 11, 2002 - Present
WESTERN GROWERS FINANCIAL SERVICES, INC.
Office #1: 15525 Sand Canyon, Irvine, CA 92618Office #2: 6501 Irvine Center Drive Suite 100, Irvine, CA 92618RIA
BD
CRD#: 115115
Irvine, CA
Past
October 1, 2001 - October 29, 2002
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
IRVINE, CA
Past
May 1, 2001 - October 29, 2002
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
January 6, 1998 - April 2, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/1/2019)
RR
Arizona(10/29/2002)
IAR
Arizona(5/31/2012)
RR
California(10/28/2002)
IAR
California(8/15/2006)
RR
Colorado(4/8/2005)
RR
Maryland(10/15/2013)
IAR
North Carolina(8/6/2014)
RR
Oregon(5/20/2008)
RR
Washington(8/15/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WG
WESTERN GROWERS FINANCIAL SERVICES, INC.
WESTERN GROWERS FINANCIAL SERVICES | WESTERN GROWERS FINANCIAL SERVICES, INC.
CRD#: 115115 / SEC#: , 8-53458
Arizona
Registered Investment Advisory firm - SEC (5/31/2012 Approved)California
Registered Investment Advisory firm - SEC (8/30/2001 Approved)North Carolina
Registered Investment Advisory firm - SEC (8/6/2014 Approved)Texas
Registered Investment Advisory firm - SEC (11/26/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
6501 Irvine Center Drive Suite 100, Irvine, CA 92618
Mailing Address
6501 Irvine Center Drive Suite 100, Irvine, CA 92618
Phone number
(888) 737-8483
Established
California since 06/21/2000
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
4
FINRA licenses (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 281 |
| AUM (Assets Under Management) | $ 115,585,156 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
