CL
Courtney D. Lewis-williams
USAA INVESTMENT SERVICES COMPANY
Phoenix, AZ 85085
Some features on this profile are disabled
CRD#: 4648323
CL
Professional summary
Courtney Dannielle Lewis-williams, who also goes by Courtney Lewis-williams, is a registered financial advisor currently at USAA INVESTMENT SERVICES COMPANY located in Phoenix, Arizona.
Courtney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Courtney has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Courtney Lewis-Williams
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.
Name of the business: Courtney Lewis-Williams; .Business investment-related: No; .Address: PO BOX 10073, Glendale AZ 85318; .Nature of the business: Notary Signing Agent (NSA);. Position: Independent Contractor; .Start date: 05/25/2021; .Hours/months you devote: 20 hours a month; .Hours you devote during securities trading hours: None; .Duties: Deliver loan documents to borrowers, oversee the signing, and return the documents. Name of Business: USPS; .Business investment-related: No; .Address: 12250 W Corporate Drive Avondale, AZ 85323; .Nature of the business: Sorting and Handling; .Position: PSE Mail Processing Clerk; .Start date: 10/19/2024; .Hours/months you devote: 25 hours a month; .Hours you devote during securities trading hours: None;. Duties: Performs a variety of clerk duties required to process mail using mail processing equipment or manual methods of sortation and distribution.
CRS (Client Relationship Summary) - RIA
Click below to view Courtney Dannielle Lewis-williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Courtney Dannielle Lewis-williams'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
August 7, 2024 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: One Norterra Drive, Phoenix, AZ 85085RIA
BD
CRD#: 5475
Phoenix, AZ
Current
August 8, 2024 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: One Norterra Drive, Phoenix, AZ 85085RIA
BD
CRD#: 5475
Phoenix, AZ
Past
February 25, 2021 - October 20, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GLENDALE, AZ
Past
February 12, 2021 - October 20, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
PEORIA, AZ
Past
December 4, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Birmingham, AL
Past
December 4, 2018 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
BIRMINGHAM, AL
Past
December 4, 2018 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
BIRMINGHAM, AL
Past
July 2, 2016 - November 28, 2018
WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.
RIA
CRD#: 119127
HOUSTON, TX
Past
May 18, 2016 - November 27, 2018
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
HOUSTON, TX
Past
May 9, 2016 - November 27, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HOUSTON, TX
Past
January 2, 2015 - May 11, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HOUSTON, TX
Past
January 2, 2015 - May 11, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HOUSTON, TX
Past
May 24, 2013 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
HOUSTON, TX
Past
August 2, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
HOUSTON, TX
Past
November 6, 2009 - June 9, 2010
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
HOUSTON, TX
Past
January 24, 2007 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
HOUSTON, 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".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas 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
Alabama(8/8/2024)
RR
Alaska(8/8/2024)
IAR
Arizona(8/7/2024)
RR
Arizona(8/12/2024)
RR
Arkansas(8/8/2024)
RR
California(8/8/2024)
RR
Colorado(8/8/2024)
RR
Connecticut(8/8/2024)
RR
Delaware(8/8/2024)
RR
District of Columbia(8/8/2024)
RR
Florida(8/8/2024)
RR
Georgia(8/8/2024)
RR
Hawaii(8/8/2024)
RR
Idaho(8/8/2024)
RR
Illinois(8/8/2024)
RR
Indiana(8/8/2024)
RR
Iowa(8/8/2024)
RR
Kansas(8/8/2024)
RR
Kentucky(8/8/2024)
RR
Louisiana(8/8/2024)
RR
Maine(8/8/2024)
RR
Maryland(8/8/2024)
RR
Massachusetts(8/8/2024)
RR
Michigan(8/8/2024)
RR
Minnesota(8/8/2024)
RR
Mississippi(8/8/2024)
RR
Missouri(8/8/2024)
RR
Montana(8/8/2024)
RR
Nebraska(8/8/2024)
RR
Nevada(8/8/2024)
RR
New Hampshire(8/8/2024)
RR
New Jersey(8/8/2024)
RR
New Mexico(8/8/2024)
RR
New York(8/8/2024)
RR
North Carolina(8/8/2024)
RR
North Dakota(8/8/2024)
RR
Ohio(8/9/2024)
RR
Oklahoma(8/8/2024)
RR
Oregon(8/8/2024)
RR
Pennsylvania(8/8/2024)
RR
Puerto Rico(8/8/2024)
RR
Rhode Island(8/8/2024)
RR
South Carolina(8/8/2024)
RR
South Dakota(8/8/2024)
RR
Tennessee(8/8/2024)
IAR
Texas(8/7/2024)
RR
Texas(8/8/2024)
RR
Utah(8/8/2024)
RR
Vermont(8/8/2024)
RR
Virgin Islands(8/8/2024)
RR
Virginia(8/8/2024)
RR
Washington(8/8/2024)
RR
West Virginia(8/8/2024)
RR
Wisconsin(8/8/2024)
RR
Wyoming(8/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
