Charles L. Lewis

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CRD#: 4714985

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.

Charles Lee Lewis, who also goes by Charles Lewis, Charlie L Lewis, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2004. Charles had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Lewis | Charlie L 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. CHARLES L LEWIS & ASSOCIATES,CPA, P.C. 2. NON INVESTMENT RELATED BUSINESS 3. 4323 MUNDY MILL ROAD, SUITE 100 OAKWOOD, GA 30566 4. CPA FIRM - INCOME TAXES, ACCOUNTING AND BOOKKEEPING. 5. CPA/PRESIDENT AND SOLE SHAREHOLDER 6. 1/1/90, TO PRESENT 7. 200+ HOURS MONTHLY 8. WORK DURING SECURITIES TRADING HOURS - YES 9. DUTIES OF PREPARING TAX RETURNS, FINANCIAL STATEMENTS, REVIEW WORK OF OTHERS PERFORMING SAME DUTIES, ADMINISTRATIVE TASKS AND BILLING, CONSULTING WITH CLIENTS AND DIRECTING EMPLOYEES, ETC. 2) COMMUNITY CARE AND SHARE, INC. OAKWOOD, GA. STARTED 10/2014 AS TREASURER/BOARD MEMBER. SPENDS 1 HR/MO AND 75% DURING TRADING. NON-PROFIT. 3) INDEPENDENT INSURANCE AGENT, OAKWOOD, GA, SINCE 2009, APPROXIMATELY 1 HOUR/MO DURING TRADING HOURS, INSURANCE PRODUCT SALES

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 5, 2019 - December 31, 2024

TRUFP

RIA

CRD#: 299212

OAKWOOD, GA

Past

January 5, 2011 - December 31, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Cumming, GA

Past

January 3, 2011 - December 31, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

CUMMING, GA

Past

July 19, 2005 - December 31, 2010

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

OAKWOOD, GA

Past

July 11, 2005 - December 31, 2010

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

OAKWOOD, GA

Past

November 16, 2004 - April 11, 2005

EQUITY SERVICES, INC.

RIA

CRD#: 265

OAKWOOD, GA

Past

August 13, 2004 - July 1, 2005

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

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".

TRUFP

INVESTMENT PLANNING ADVISORS | TRUFP

CRD#: 299212 / SEC#: 801-117561

RIA

Registered Investment Advisory firm - (10/30/2019 Approved)

Georgia

Registered Investment Advisory firm - (12/6/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/15/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/2004

General Securities Representative Examination

Current Firm

TRUFP

INVESTMENT PLANNING ADVISORS | TRUFP

CRD#: 299212 / SEC#: 801-117561

RIA

Registered Investment Advisory firm - (10/30/2019 Approved)

Georgia

Registered Investment Advisory firm - (12/6/2019 Terminated)

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Contact information

Main Address

327 Dahlonega Street, Suite 503 Pmb 538, Cumming, GA 30040

Mailing Address

Phone number

(770) 205-4394

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (5/5/2025)

FORM ADV PART 2A (5/5/2025)

Regulatory assets under management

Total Number of Accounts	2,275
AUM (Assets Under Management)	$ 334,137,900

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

Charles L. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

Primary Firm SEC Registration

TRUFP

State Registrations and Notice Filings

Exams

Series 66

Date: 11/15/2004

SIE

Date: 10/1/2018

Series 7

Date: 1/22/2004

Current Firm

TRUFP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUFP

TRUST BUT VERIFY

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