Matthew D. Lewis

WESTERN GROWERS FINANCIAL SERVICES

IRVINE, CA 92618

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CRD#: 2954995

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.

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) - 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).

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

August 15, 2006 - Present

WESTERN GROWERS FINANCIAL SERVICES, INC.

Office #1: 6501 Irvine Center Drive Suite 100, Irvine, CA 92618Office #2: 6501 Irvine Center Drive Ste 100, Irvine, CA 92618

RIA

CRD#: 115115

IRVINE, CA

Current

February 11, 2002 - Present

WESTERN GROWERS FINANCIAL SERVICES, INC.

Office #1: 6501 Irvine Center Drive Suite 100, Irvine, CA 92618Office #2: 6501 Irvine Center Drive Suite 100, Irvine, CA 92618

RIA

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

CRD#: 10249

PHOENIX, AZ

Past

January 6, 1998 - April 2, 2001

UBS FINANCIAL SERVICES INC.

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.

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

Alabama
(11/1/2019)

Arizona
(10/29/2002)

IAR

Arizona
(5/31/2012)

California
(10/28/2002)

IAR

California
(8/15/2006)

Colorado
(4/8/2005)

Maryland
(10/15/2013)

IAR

North Carolina
(8/6/2014)

Oregon
(5/20/2008)

Washington
(8/15/2006)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/1/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/29/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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).

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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

FINRA licenses (7 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
WESTERN GROWERS SERVICE CORP.	OWNER
FETTIG, SILVIA ALICIA	CCO	3020559
LEWIS, MATTHEW DAVID	CEO, PRESIDENT	2954995

Regulatory assets under management

Total Number of Accounts	281
AUM (Assets Under Management)	$ 115,585,156

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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Matthew D. Lewis

Professional summary

Aliases

Other business activities

Blog Corner

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

Experience

WESTERN GROWERS FINANCIAL SERVICES, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/1997

Series 63

Date: 12/1/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/12/1997

Series 24

Date: 4/29/2002

FINRA

Current Firm

WESTERN GROWERS FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

WESTERN GROWERS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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