Dale Elizabeth Lewis
IAR
RR
OVERVIEW
Dale Elizabeth Lewis, CFP is a registered financial advisor at AVANTAX ADVISORY SERVICES located in Tewksbury, Massachusetts and AVANTAX INVESTMENT SERVICES, INC. located in Tewksbury, Massachusetts.
Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Dale has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Disclosures
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.
Advisor Information
CREDENTIALS (1)
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (4)
RR
Maine (2/21/2020)RR
Massachusetts (2/21/2020)IAR
Massachusetts (3/23/2020)RR
New Hampshire (2/21/2020)SRO REGISTRATIONS (1)
RR
FINRA APPROVED
Firm Information
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
Dale Elizabeth Lewis
IAR
RR
Experience: 4 years / 3 firms
CRD#: 7004930
LOCATION
No current location data
The lack of due diligence on a financial advisor costs Americans billions each year. While most of our public information could help you choose the right advisor, taking a deeper dive into disclosures is going to shed a deeper light on whether or not you feel comfortable moving forward with a particular financial advisor.
Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
Not sure you want to work with Dale and thinking of a few other financial advisors to potentially work with as well?
Compare Dale and up to two other advisors side-by-side, just like how you would pull a Carfax report.
Planning to create a potentially life-long relationship with Dale?
AdvisorCheck membership to save this advisor and as many others as you would like to your dashboard.
Our advisor profiles are constantly updated with new regulatory information, essential comparison, critical data, graphs, charts, and more to continually improve the consumer and investor experience when working with a financial services professional.
As Featured in
