Herman K. Lewkowitz

CETERA INVESTMENT ADVISERS LLC

PHOENIX, AZ 85018

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CRD#: 4157908

Professional summary

Herman Korrick Lewkowitz is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Phoenix, Arizona and CETERA INVESTMENT SERVICES LLC located in Phoenix, Arizona.

Herman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Herman has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 53 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.

1.)AS PART OF BANK ROLE, MORTGAGE LOANS;HOME EQTY LOC'S; PRIVATE BANKING-10-15HRS WK. 2.)THIRD PARTY INSURANCE, ANNUITIES THROUGH MASSMUTUAL FINANCIAL GROUP. 3.) BOARD MEMBER AND VICE PRESIDENT OF CHILD CRISIS OF ARIZONA FOUNDATION; OVERSEES THE ENDOWMENT 4.) THE THUNDERBIRDS. VOLUNTEER FOR LOCAL CHARITY EVENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herman Korrick Lewkowitz'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

May 8, 2017 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 6232 N 32nd St, Phoenix, AZ 85018

RIA

CRD#: 105644

PHOENIX, AZ

Current

April 28, 2017 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 6232 N 32nd St, Phoenix, AZ 85018

CRD#: 15340

Phoenix, AZ

Past

May 25, 2016 - July 28, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

PHOENIX, AZ

Past

March 30, 2016 - July 28, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PHOENIX, AZ

Past

January 12, 2011 - July 19, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

PHOENIX, AZ

Past

September 21, 2006 - July 6, 2010

ZIONS CAPITAL ADVISORS, INC.

RIA

CRD#: 131308

PHOENIX, AZ

Past

August 15, 2006 - July 6, 2010

ZIONS DIRECT, INC.

CRD#: 17776

PHOENIX, AZ

Past

April 18, 2000 - August 15, 2006

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

Arizona
(5/8/2017)

IAR

Arizona
(5/8/2017)

California
(7/26/2019)

Colorado
(7/26/2019)

Delaware
(4/8/2019)

Florida
(10/22/2021)

Kansas
(6/20/2019)

Maryland
(4/8/2019)

Montana
(7/26/2019)

Nebraska
(5/20/2024)

Nevada
(7/26/2019)

New Mexico
(4/8/2019)

New York
(7/11/2025)

Oklahoma
(6/20/2018)

Oregon
(5/21/2019)

Rhode Island
(7/7/2023)

Texas
(4/8/2019)

IAR

Texas
(1/12/2023)

Utah
(7/26/2019)

Washington
(7/26/2019)

Wyoming
(4/8/2019)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 4/19/2016

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/19/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/8/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/16/2005

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Herman K. Lewkowitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herman Korrick Lewkowitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

ZIONS CAPITAL ADVISORS, INC.

ZIONS DIRECT, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2016

Series 65

Date: 9/19/2006

Series 63

Date: 5/8/2000

SIE

Date: 10/1/2018

Series 7

Date: 3/30/2016

Series 53

Date: 11/16/2005

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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