Derek M. Lewis

CATAWBA RIVER CAPITAL

LAKE WYLIE, SC 29710

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CRD#: 5701113

Professional summary

Derek Martin Lewis, CFP® is a registered financial advisor currently at CATAWBA RIVER CAPITAL located in Lake Wylie, South Carolina.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Derek has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Martin Lewis's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

April 18, 2012 - Present

CATAWBA RIVER CAPITAL

Office #1: 4100 Charlotte Hwy, Lake Wylie, SC 29710

RIA

CRD#: 134217

LAKE WYLIE, SC

Past

November 3, 2011 - April 9, 2012

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

MT. PLEASANT, SC

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".

CATAWBA RIVER CAPITAL

BOGGS FINANCIAL GROUP, INC. | R.P. BOGGS & CO. WEALTH MANAGEMENT | R.P. BOGGS & CO. | CATAWBA RIVER CAPITAL

CRD#: 134217 / SEC#: 801-113237

RIA

Registered Investment Advisory firm - (5/16/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/17/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (5/17/2018 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.

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

South Carolina
(4/19/2012)

IAR

Texas
(12/14/2020)

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: 1/23/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/2/2011

General Securities Representative Examination

Current Firm

CATAWBA RIVER CAPITAL

BOGGS FINANCIAL GROUP, INC. | R.P. BOGGS & CO. WEALTH MANAGEMENT | R.P. BOGGS & CO. | CATAWBA RIVER CAPITAL

CRD#: 134217 / SEC#: 801-113237

RIA

Registered Investment Advisory firm - (5/16/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/17/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (5/17/2018 Terminated)

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Contact information

Main Address

4100 Charlotte Hwy., Lake Wylie, SC 29710

Mailing Address

Phone number

(803) 831-0911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CATAWBA RIVER CAPITAL FORM ADV PART 2A - MARCH 2025 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	837
AUM (Assets Under Management)	$ 262,445,540

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Derek M. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Martin Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

CATAWBA RIVER CAPITAL

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

CATAWBA RIVER CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2012

Series 7

Date: 11/2/2011

Current Firm

CATAWBA RIVER CAPITAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CATAWBA RIVER CAPITAL

TRUST BUT VERIFY

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