RL
Richard W. Lewis
BA SECURITIES
RICHMOND, VA 23060
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CRD#: 6525844
RL
Professional summary
Richard William Lewis is a registered financial professional currently at BA SECURITIES, LLC located in Richmond, Virginia.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2015. Richard has worked at 2 firms and has passed the Series 63, Series 65, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
PARTNER, KEITER. MR. LEWIS IS EMPLOYED FULL TIME BY KEITER, A VIRGINIA-BASED PUBLIC ACCOUNTING FIRM. HE IS NOT EMPLOYED BY THE COLONY GROUP ("COLONY"), EVEN THOUGH COLONY HAS REGISTERED MR. LEWIS AS AN INVESTMENT ADVISER REPRESENTATIVE ("IAR"). KEITER HAS A REFERRAL/SOLICITOR AGREEMENT IN PLACE WITH COLONY. VIRGINIA'S SECURITIES LAW REQUIRES THAT AN INDIVIDUAL MAKING A SOLICITATION TO AN SEC-REGISTERED INVESTMENT ADVISORY FIRM IS REGISTERED AS AN IAR. MR. LEWIS' CONNECTION TO COLONY IS ONLY FOR PURPOSES OF REGISTRATION SO THAT HE MAY MAKE CLIENT REFERRALS. COLONY'S RESPONSIBILITY IN THIS ARRANGEMENT IS TO ENSURE COMPLIANCE WITH RULE 206-4(3) OF THE INVESTMENT ADVISER ACT.
CRS (Client Relationship Summary) - BD
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Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 9, 2024 - Present
BA SECURITIES, LLC
Office #1: 4401 Dominion Boulevard, Richmond, VA 23060BD
CRD#: 153489
RICHMOND, VA
Past
July 10, 2015 - January 26, 2024
FOCUS PARTNERS WEALTH, LLC
RIA
CRD#: 159289
GLEN ALLEN, VA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Pennsylvania(9/9/2024)
RR
Virginia(8/20/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 9/9/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BS
BA SECURITIES, LLC
BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS
CRD#: 153489 / SEC#: , 8-68545
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Mailing Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Phone number
(877) 738-5841
Established
Pennsylvania since 01/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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Company Information
BA SECURITIES, LLC
CRD#: 153489Richmond, VA 23060TRUST BUT VERIFY
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