Thomas J. Lewis

KRILOGY

St. Louis, MO 63141

Some features on this profile are disabled

CRD#: 5951077

Professional summary

Thomas Joseph Lewis, who also goes by Tom Joseph Lewis, is a registered financial advisor currently at KRILOGY located in St. Louis, Missouri and SAXONY SECURITIES, INC. located in St. Louis, Missouri.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Joseph 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) Saxony Securities, Inc.; investment related; April 2016; 5-10 hours; 5-10 hours; independent contractor providing brokerage and supervision service. 2) Krilogy Financial, LLC. DBA for investment related activity. 3) KEP Law, LLC., non-investment related, 275 N. Lindbergh, St. Louis, MO 63141, Estate Planning, Owner, Started on March 12, 2021, 15-20 hrs per month during trading hours, duties include providing estate planning to customers. 4) Krilogy Law, DBA for KEP Law, LLC. 5). TNL Holdings, 515 South Clay Ave, Kirkwood, MO 63122 not investment-related, Owner, Start date 5/3/2021, holding company for Krilogy Ownership Units, 1 hour per month during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph 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®

None

Experience

Current

April 21, 2016 - Present

KRILOGY

Office #1: 275 N. Lindbergh Ste. 20, St. Louis, MO 63141

RIA

CRD#: 149046

St. Louis, MO

Current

April 27, 2016 - Present

SAXONY SECURITIES, INC.

Office #1: 275 N. Lindbergh Suite 20, St. Louis, MO 63141

CRD#: 115547

St. Louis, MO

Past

August 12, 2015 - April 19, 2016

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

SAINT LOUIS, MO

Past

August 12, 2015 - April 19, 2016

SAXONY SECURITIES, INC.

CRD#: 115547

ST. LOUIS, MO

Past

April 23, 2012 - August 10, 2015

EDWARD JONES

RIA

CRD#: 250

ST LOUIS, MO

Past

December 21, 2011 - August 10, 2015

EDWARD JONES

CRD#: 250

ST LOUIS, MO

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".

KRILOGY

CRD#: 149046 / SEC#: 801-69838

RIA

Registered Investment Advisory firm - (1/12/2009 Approved)

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.

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

IAR

Missouri
(4/21/2016)

Missouri
(4/27/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/20/2012

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: 12/20/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/3/2014

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 12/22/2012

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/28/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KRILOGY

CRD#: 149046 / SEC#: 801-69838

RIA

Registered Investment Advisory firm - (1/12/2009 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

275 N. Lindbergh Ste. 20, St. Louis, MO 63141

Mailing Address

Phone number

(314) 884-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/31/2025)

KRILOGY FINANCIAL, LLC CLIENT BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	10,780
AUM (Assets Under Management)	$ 4,954,332,013

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/13/2025	Cover Page	Report
02/27/2025	Cover Page	Report
10/12/2023	Cover Page	Report
01/03/2023	Cover Page	Report

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.

Similar Advisors

Aaron Ungerer

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Frontenac, MO

Dalton Stockton

WELLS FARGO CLEARING SERVICES, LLC

IAR

ST. LOUIS, MO

Michael Etheridge

CORNERSTONE WEALTH MANAGEMENT, LLC

IAR

ST. PETERS, MO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAXONY SECURITIES, INC.

SAXONY CAPITAL MANAGEMENT, LLC

SAXONY SECURITIES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

KRILOGY

State Registrations and Notice Filings

Exams

Series 66

Date: 4/20/2012

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2011

Series 9

Date: 11/3/2014

Series 10

Date: 12/22/2012

Series 24

Date: 6/28/2012

FINRA

Current Firm

KRILOGY

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KRILOGY

TRUST BUT VERIFY

Similar Advisors