Dale E. Lewis
CETERA INVESTMENT ADVISERS LLC
TEWKSBURY, MA 01876
Some features on this profile are disabled
CRD#: 7004930
Professional summary
Dale Elizabeth Lewis, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tewksbury, Massachusetts and CETERA WEALTH SERVICES, LLC 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 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Taxes and a Plan~'NIR'~1215 Main Street, Suite 124~Tewksbury~MA~01876~Accounting Services/Tax Preparation~Owner~10/26/2016~40hrs~20hrs~Currently I am the sole professional to provide services within Taxes and a Plan. As owner I handle all of the administrative, accounting and organizational functions of the business 2) TEWKSBURY FINANCIAL SERVICES POSITION: Owner NATURE: Investment advisor, financial planning, life insurance and annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/15/2021 ADDRESS: 1215 Main Street, Suite 124, Tewksbury MA 01876, United States DESCRIPTION: As Avantax Financial Professional offer products and services provided through Avantax 3) OFFICE CONDOMINIUM POSITION: Owner NATURE: This property was purchased to conduct tax preparation and related services for current tax clients and prospects. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2017 ADDRESS: 200 Vest Way, North Andover MA 01845, United States DESCRIPTION: Duties include receiving monthly rent, paying bills (monthly mortgage, real estate taxes, condominium association dues and water), and providing ongoing maintenance, repairs and upgrades.
CRS (Client Relationship Summary) - RIA
Click below to view Dale Elizabeth Lewis's 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®
CFP®
Start date: 2014
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1215 Main Street Suite 124, Tewksbury, MA 01876RIA
CRD#: 105644
TEWKSBURY, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1215 Main Street Suite 124, Tewksbury, MA 01876BD
CRD#: 13572
Tewksbury, MA
Past
March 23, 2020 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Tewksbury, MA
Past
February 21, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Tewksbury, MA
Past
March 5, 2019 - March 9, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
WALTHAM, MA
Past
November 27, 2018 - March 9, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
WALTHAM, MA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Tewksbury, MA 01876TRUST BUT VERIFY
Monitor Dale Lewis
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
