EL
Edward C. Lewis
REGAL INVESTMENT ADVISORS LLC
Phoenix, AZ
Some features on this profile are disabled
CRD#: 4303068
EL
Professional summary
Edward C Lewis, CFP®, who also goes by Ted Lewis, is a registered financial advisor currently at REGAL INVESTMENT ADVISORS LLC located in Phoenix, Arizona.
Edward is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Edward has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ted 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.
1)PROVIDES BUSINESS FINANCIAL MANAGEMENT CONSULTING SERVICES AS A BUSINESS CONSULTANT THROUGH AN AFFILIATION WITH BEANSTALKCFO GROUP (BCFO). ACTIVITIES ARE NOT SECURITIES/INVESTMENT RELATED AND ARE NOT SERVICES OF CLEARVIEW WEALTH MANANGEMENT. RELATIONSHIP BEGAN IN 2007. TYPICALLY, HOURS DEVOTED TO BCFO ARE BETWEEN 5 AND 10 HOURS PER MONTH, WITH THE MAJORITY OF THOSE HOURS OUTSIDE OF SECURITIES TRADING HOURS. 2)Agent of Insurance Sales. Located at 2116 E Cathedral Rock Drive, Phoenix Arizona, 85048. Phone: 602-421-0623. Started this on 3/31/2001 and devotes 5 hours per month and no hours during trading hours. This is not investment related, he does not have a supervisor, and he is compensated through commissions. 3)Business consulting. Advisory board member for privately held business. Started on 3/11/2019. Devotes approx 2 hours per month and 2 hours during trading hours. This is not investment related. Located at 2116 E Cathedral Rock Drive, Phoenix, AZ, 85048. Receives an annual retainer and fee for quarterly meeting participation. 4) Lewis Family Racing Stables; 6005 Ten Oaks Road, Clarksville, MD 21029; Not investment related; 10 hrs/month, 2 during trading; Start 11/1/2022; Managing member; no compensation; co-manage thoroughbred racing stable. Manage horses, training & development and finances.
CRS (Client Relationship Summary) - RIA
Click below to view Edward 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®
Experience
Current
December 11, 2012 - Present
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
Phoenix, AZ
Past
March 6, 2012 - March 22, 2013
WATTS GWILLIAM & COMPANY, LLC
RIA
CRD#: 131458
GILBERT, AZ
Past
October 2, 2006 - December 13, 2011
CLEARVIEW WEALTH MANAGEMENT, LLC
RIA
CRD#: 140602
PHOENIX, AZ
Past
January 8, 2001 - September 26, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)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
Arizona(12/19/2012)
IAR
Texas(1/11/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
