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LL

Leico Lemus

CWS INVESTMENTS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 7488638
LL

Professional summary

Leico Lemus is a registered financial advisor currently at CWS INVESTMENTS located in Newport Beach, California.

Leico is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Leico has worked at 2 firms and has passed the Series 66, Series 57TO, Series 7TO and SIE 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leico Lemus's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Leico Lemus'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®
None

Experience

Current

April 30, 2025 - Present

CWS INVESTMENTS

Office #1: 14 Corporate Plaza Ste. 210, Newport Beach, CA 92660
RIA
BD
CRD#: 23551
Newport Beach, CA
Current

April 28, 2025 - Present

CWS INVESTMENTS

Office #1: 14 Corporate Plaza, Suite 210, Newport Beach, CA 92660
RIA
BD
CRD#: 23551
Newport Beach, CA
Past

January 2, 2024 - May 1, 2025

WEDBUSH SECURITIES INC.

RIA
CRD#: 877
LOS ANGELES, CA
Past

September 29, 2023 - May 1, 2025

WEDBUSH SECURITIES INC.

BD
CRD#: 877
LOS ANGELES, CA

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
California
(4/28/2025)
IAR
California
(4/30/2025)
RR
Texas
(4/28/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/25/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 11/13/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/29/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/19/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CWS INVESTMENTS
CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS | CWS INVESTMENTS

CRD#: 23551 / SEC#: , 8-40494

California
Registered Investment Advisory firm - SEC (8/30/2013 Approved)
Illinois
Registered Investment Advisory firm - SEC (11/13/2015 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
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Contact information

Main Address
14 Corporate Plaza, Suite 210 Ste. 210, Newport Beach, CA 92660
Mailing Address
14 Corporate Plaza, Suite 210, Newport Beach, CA 92660
Phone number
(949) 640-4200
Established
California since 10/04/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
27

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SHERWOOD, STEVEN JAYPRESIDENT/SECRETARY/CFO1901510
CARMELL, GARY CHARLESVICE PRESIDENT2595391
RUGGLES, MARK RYANCOO/CCO2637412

Disclosures

Regulatory Event2

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

CWS INVESTMENTS

CRD#: 23551Newport Beach, CA 92660

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