Gregory N. Lewis

ELLS FINANCIAL SERVICES LLC

Anaheim, CA

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CRD#: 3068246

Professional summary

Gregory Neal Lewis, who also goes by Gregory Lewis, is a registered financial advisor currently at ELLS FINANCIAL SERVICES LLC located in Anaheim, California.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Gregory has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregory 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.

Independent Insurance Agent, not investment- related, Anaheim, CA, insurance sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Neal Lewis's CRS (Customer Relationship Summary).

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

March 12, 2002 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA

CRD#: 630

NEW YORK, NY

Past

July 27, 1998 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

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

California
(11/24/2015)

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: 11/5/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/1998

General Securities Representative Examination

Current Firm

ELLS FINANCIAL SERVICES LLC

CRD#: 175408 / SEC#:

California

Registered Investment Advisory firm - (11/24/2015 Approved)

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Contact information

Main Address

Anaheim, CA

Mailing Address

Phone number

(714) 401-9883

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Gregory N. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Neal Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELLS FINANCIAL SERVICES LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER ASSET MANAGEMENT

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/5/2001

Series 63

Date: 10/6/1998

SIE

Date: 1/5/2016

Series 7

Date: 7/21/1998

Current Firm

ELLS FINANCIAL SERVICES LLC

Contact information

Documents

Red Flags

Company Information

ELLS FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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