Douglas J. Lewis

LEWIS FINANCIAL MANAGEMENT

Raleigh, NC 27609

Some features on this profile are disabled

CRD#: 722087

Professional summary

Douglas Joel Lewis, CFP® is a registered financial advisor currently at LEWIS FINANCIAL MANAGEMENT, LLC located in Raleigh, North Carolina and THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Raleigh, North Carolina.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Douglas has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 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- "MONEY MATTERS WITH THE LEWIS FAMILY" ON WPTF - AM 680; INVESTMENT RELATED; 3012 HIGHWOODS BLVD SUITE 200, WPTF AM 680, RALEIGH NC 27604; BUSINESS, MARKETING; RADIO HOST; 08/12/1990; 8 HOURS/MONTH, 0 DURING TRADING; ANSWER LISTENER QUESTIONS CONCERNING TAX, INVESTMENT, ESTATE, CASH-FLOW, RETIREMENT, AND OTHER MONEY MATTERS -2- DOUGLAS J. LEWIS - NOT INVESTMENT RELATED; 1611 EAST MILLBROOK ROAD, RALEIGH NC 27609; LIFE INSURANCE; AGENT; 01/01/1983; 4 HOURS/MONTH, DURING TRADING; LIFE INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Joel Lewis's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 1985

Experience

Current

December 31, 2001 - Present

LEWIS FINANCIAL MANAGEMENT, LLC

Office #1: 1611 East Millbrook Road, Raleigh, NC 27609

RIA

CRD#: 116344

Raleigh, NC

Current

March 15, 2013 - Present

THE STRATEGIC FINANCIAL ALLIANCE, INC.

Office #1: 1611 East Millbrook Road, Raleigh, NC 27609

RIA

CRD#: 126514

Raleigh, NC

Past

January 31, 1989 - April 12, 2013

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

RALEIGH, NC

Past

October 28, 1983 - February 8, 1989

SOURCE SECURITIES, INC.

CRD#: 8026

Past

October 28, 1982 - November 1, 1983

FSC SECURITIES CORPORATION

CRD#: 7461

Past

May 5, 1982 - August 19, 1982

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 19, 1981 - April 8, 1982

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

LEWIS FINANCIAL MANAGEMENT, LLC

CRD#: 116344 / SEC#: 801-60666

RIA

Registered Investment Advisory firm - (10/5/2001 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.

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

Arkansas
(3/15/2013)

California
(3/15/2013)

Colorado
(9/26/2016)

Florida
(4/15/2013)

Georgia
(1/2/2014)

Indiana
(8/14/2019)

Kansas
(3/15/2013)

Louisiana
(2/13/2017)

Maryland
(7/2/2018)

Massachusetts
(5/28/2013)

Michigan
(12/26/2017)

Missouri
(4/4/2013)

New York
(5/6/2013)

IAR

North Carolina
(12/31/2001)

North Carolina
(3/15/2013)

Ohio
(1/2/2014)

Oregon
(1/6/2014)

Pennsylvania
(3/15/2013)

South Carolina
(4/17/2013)

South Dakota
(3/15/2013)

IAR

Texas
(6/19/2009)

Texas
(3/15/2013)

Virginia
(3/15/2013)

Wisconsin
(1/4/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/23/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/5/1986

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LEWIS FINANCIAL MANAGEMENT, LLC

CRD#: 116344 / SEC#: 801-60666

RIA

Registered Investment Advisory firm - (10/5/2001 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

1611 East Millbrook Road, Raleigh, NC 27609

Mailing Address

Phone number

(919) 872-7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LFM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	128
AUM (Assets Under Management)	$ 431,163,158

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.

Similar Advisors

Daniel Conklin

HUNTER STREET INVESTMENT ADVISORS LLC

IAR

Apex, NC

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

Laird Hepburn

BSG ADVISERS

IAR

Apex, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Douglas J. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Joel Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE STRATEGIC FINANCIAL ALLIANCE, INC.

GROVE POINT INVESTMENTS, LLC

SOURCE SECURITIES, INC.

FSC SECURITIES CORPORATION

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

LEWIS FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/23/1981

SIE

Date: 10/1/2018

Series 7

Date: 1/17/1981

Series 24

Date: 8/5/1986

FINRA

Current Firm

LEWIS FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEWIS FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors