Lewis G. Mai
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.
Lewis Gavin Mai, CFP®, who also goes by Lewis Gavin Mai, Lewis Gia Mai, Luat Gia Mai, Luat Mai, Lewis Mai, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 2014. Lewis 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
Start date: 2021
Experience
April 28, 2020 - May 23, 2023
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
April 28, 2020 - May 23, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
January 15, 2018 - December 23, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
January 15, 2018 - December 23, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
November 27, 2017 - January 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 27, 2017 - January 9, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2017 - October 30, 2017
COMMONWEALTH FINANCIAL NETWORK
September 28, 2017 - October 30, 2017
COMMONWEALTH FINANCIAL NETWORK
October 6, 2014 - August 1, 2017
WELLS FARGO CLEARING SERVICES, LLC
May 23, 2014 - August 1, 2017
WELLS FARGO CLEARING SERVICES, LLC
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
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
