Thomas B. 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.
Thomas Bayard Lewis JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 31, Series 16, Series 5, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2013 - November 15, 2017
BOURGEON CAPITAL MANAGEMENT LLC
August 31, 2009 - September 16, 2011
ALLIANCEBERNSTEIN L.P.
May 29, 2009 - September 16, 2011
SANFORD C. BERNSTEIN & CO., LLC
December 24, 1980 - January 6, 2004
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
BOURGEON CAPITAL MANAGEMENT LLC
CRD#: 108054 / SEC#: 801-56289
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
Series 5
Date: 6/29/1982
Interest Rate Options ExaminationCurrent Firm
BOURGEON CAPITAL MANAGEMENT LLC
CRD#: 108054 / SEC#: 801-56289
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 334 |
| AUM (Assets Under Management) | $ 917,600,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/04/2025 | ||
| 02/03/2025 | ||
| 02/13/2024 | ||
| 03/17/2023 |
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.
