Matthew M. 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.
Matthew Merritt Lewis was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2012. Matthew had worked at 4 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
February 20, 2018 - December 31, 2020
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 15, 2018 - December 31, 2020
AMERICAN PORTFOLIOS ADVISORS, INC
May 19, 2015 - December 31, 2016
AMERICAN PORTFOLIOS ADVISORS, INC
May 18, 2015 - December 31, 2016
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
September 30, 2013 - October 9, 2014
VALIC FINANCIAL ADVISORS, INC.
September 30, 2013 - October 9, 2014
VALIC FINANCIAL ADVISORS, INC.
July 31, 2013 - October 1, 2013
PNC WEALTH MANAGEMENT LLC
July 30, 2013 - October 1, 2013
PNC WEALTH MANAGEMENT LLC
April 15, 2013 - June 28, 2013
AMERICAN PORTFOLIOS ADVISORS, INC
May 16, 2012 - June 28, 2013
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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