Jennifer C. Lewis
TRANSAMERICA FINANCIAL ADVISORS | Financial Professional
Cincinnati, OH 45246
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CRD#: 4195955
Professional summary
Jennifer C Lewis, who also goes by Jennfer A Carilli, Jennifer Ann Carilli, Jennifer A Lewis, Jennifer Carilli Lewis, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Cincinnati, Ohio.
Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jennifer has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jennfer A Carilli | Jennifer Ann Carilli | Jennifer A Lewis | Jennifer Carilli 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Wealthwave| marketing |investment related | approved co-brand company through WFGIA | Cincinati, Ohio | 01/2016 Netlaw; No; 12910 Shelbyville Rd. Suite 124 Louisville, KY 40243; estate planning documents; sales 4/30/2020; 5 hrs/month; 1 during sec. trading; position Netlaw services to clients a& prospective clients; approved with restrictions
CRS (Client Relationship Summary) - RIA
Click below to view Jennifer C Lewis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jennifer C 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
January 26, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11421 Chester Road, Cincinnati, OH 45246RIA
BD
CRD#: 16164
Cincinnati, OH
Current
February 5, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11421 Chester Road, Cincinnati, OH 45246RIA
BD
CRD#: 16164
Cincinnati, OH
Past
July 16, 2009 - January 14, 2014
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
CINCINNATI, OH
Past
July 15, 2009 - January 14, 2014
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
CINCINNATI, OH
Past
February 21, 2005 - July 9, 2009
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
BLUE ASH, OH
Past
August 16, 2001 - July 9, 2009
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
Past
August 29, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
Colorado(7/21/2015)
IAR
Colorado(1/13/2025)
RR
Florida(6/7/2018)
RR
Illinois(2/4/2022)
RR
Indiana(7/21/2015)
RR
Maryland(10/17/2023)
RR
Nebraska(4/25/2025)
RR
New York(7/5/2022)
IAR
North Carolina(7/18/2016)
IAR
Ohio(1/26/2015)
RR
Ohio(2/6/2015)
RR
Virginia(8/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Financial ProfessionalCRD#: 16164Cincinnati, OH 45246TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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