Leico Lemus

CWS INVESTMENTS

Newport Beach, CA 92660

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CRD#: 7488638

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

CRD#: 23551

Newport Beach, CA

Current

April 28, 2025 - Present

CWS INVESTMENTS

Office #1: 14 Corporate Plaza, Suite 210, Newport Beach, CA 92660

RIA

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.

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.

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

California
(4/28/2025)

IAR

California
(4/30/2025)

Texas
(4/28/2025)

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

IAR

Series 66

Date: 10/25/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 11/13/2023

Securities Trader Exam

General Industry/Product Exam

Series 7TO

Date: 9/29/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/19/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

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)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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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

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SHERWOOD, STEVEN JAY	PRESIDENT/SECRETARY/CFO	1901510
CARMELL, GARY CHARLES	VICE PRESIDENT	2595391
RUGGLES, MARK RYAN	COO/CCO	2637412

Disclosures

Regulatory Event

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.

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Leico Lemus

Professional summary

Question & Answer

Aliases

Other business activities

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).

Certified licenses

Experience

CWS INVESTMENTS

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2023

Series 57TO

Date: 11/13/2023

Series 7TO

Date: 9/29/2023

SIE

Date: 8/19/2023

FINRA

Current Firm

CWS INVESTMENTS

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CWS INVESTMENTS

TRUST BUT VERIFY

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