George R. Lewis
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.
George Robert Lewis, who also goes by Bob Lewis, George R Lewis, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 2009. George had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2017 - December 6, 2019
TCP ASSET MANAGEMENT, LLC
May 31, 2017 - October 2, 2019
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
May 30, 2012 - June 8, 2015
TRENDENCY CAPITAL MANAGEMENT, LLC
June 29, 2009 - June 5, 2015
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - June 5, 2015
SECURITIES AMERICA, INC.
January 22, 2009 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
Primary Firm SEC Registration
TCP ASSET MANAGEMENT, LLC
CRD#: 286037 / SEC#: 801-108836
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TCP ASSET MANAGEMENT, LLC
CRD#: 286037 / SEC#: 801-108836
Contact information
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,930 |
| AUM (Assets Under Management) | $ 822,130,691 |
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.
