John D. Lewis
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.
John Derek Lewis, who also goes by J. Derek Gross, John D Gross, John Derek Gross, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1968. John had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 7TO, SIE, Series 1, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2002 - October 2, 2025
J.DEREK LEWIS & ASSOCIATES, INC.
May 24, 1991 - October 2, 2025
JDL SECURITIES CORPORATION
September 12, 1979 - June 14, 1991
INDEPENDENT FINANCIAL GROUP, LLC
November 14, 1972 - November 1, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
May 10, 1968 - November 14, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
Primary Firm SEC Registration
J.DEREK LEWIS & ASSOCIATES, INC.
CRD#: 122307 / SEC#: 801-67339
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 5/6/1968
Registered Representative ExaminationCurrent Firm
J.DEREK LEWIS & ASSOCIATES, INC.
CRD#: 122307 / SEC#: 801-67339
Contact information
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,459 |
| AUM (Assets Under Management) | $ 1,782,416,346 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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