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SL

Stephen P. Lewis

Some features on this profile are disabled
CRD#: 820773
SL

Professional summary

Stephen Phillip Lewis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Stephen had worked at 11 firms, which includes MWA FINANCIAL SERVICES INC., TRANSAMERICA FINANCIAL ADVISORS LLC, FARMERS FINANCIAL SOLUTIONS LLC, INVESTORS BROKERAGE SERVICES INC., KESTRA INVESTMENT SERVICES LLC, WOODBURY FINANCIAL SERVICES INC., ADVANTAGE CAPITAL CORPORATION, TOWER SQUARE SECURITIES INC., AETNA LIFE INSURANCE AND ANNUITY COMPANY, PETRON SECURITIES LTD., PROVIDENT MARKETING CORPORATION.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 16, 2001 - November 16, 2004

MWA FINANCIAL SERVICES INC.

BD
CRD#: 112630
ROCK ISLAND, IL
Past

September 27, 2000 - February 28, 2001

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

September 8, 2000 - September 27, 2000

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past

October 28, 1999 - September 8, 2000

INVESTORS BROKERAGE SERVICES, INC.

BD
CRD#: 4257
ELGIN, IL
Past

August 15, 1997 - April 8, 1998

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

April 9, 1996 - August 28, 1997

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

August 15, 1994 - December 31, 1994

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA
Past

September 8, 1993 - August 15, 1994

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

February 18, 1988 - April 20, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256
HARTFORD, CT
Past

April 30, 1984 - February 19, 1987

PETRON SECURITIES, LTD.

BD
CRD#: 8208
Past

August 19, 1982 - July 18, 1983

PROVIDENT MARKETING CORPORATION

BD
CRD#: 7328

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".
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)
Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)
Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)
Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)
Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)
Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)
Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)
Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)
Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)
Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)
Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)
Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/20/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 4/3/1976
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/25/2002
Investment Company Products/Variable Contracts Principal Examination

Current Firm

MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)
Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)
Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)
Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)
Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)
Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)
Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)
Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)
Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)
Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)
Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)
Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1701 1st Avenue, Rock Island, IL 61201
Mailing Address
1701 1st Avenue, Rock Island, IL 61201
Phone number
(309) 558-3100
Established
Illinois since 02/02/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
674

SEC notice filing (49 States and Territories)

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

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MWAFS FORM CRS 7-2021 (3/31/2025)
MWAFS MANAGED ACCOUNTS BROCHURE PART 2A APPENDIX 1_3-28-2025 (3/31/2025)
MWAFS FINANCIAL PLANNING BROCHURE ADV PART 2A 3/28/2025 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
MODERN WOODMEN OF AMERICAPARENT CO.
BOHNERT, LESTER LEEDIRECTOR6933862
DOYLE, SHEA EUGENESECRETARY/DIRECTOR4577202
EIGENBROD, NEIL THOMASFINOP5615693
JENSEN, DAWN MCHIEF OPERATIONS OFFICER4936560
LYPHOUT, JERALD JAMESDIRECTOR4148959
POGEMILLER, CLINT JOSEPHPRESIDENT/CHAIRMAN2977743
RECH, KELLIE MARIECHIEF COMPLIANCE OFFICER4863283
SIMMS, CHARLES EDMUNDDIRECTOR2553306
SWANSON, TODD DAVIDTREASURER4844282
VAN, BRETT MATTHEWDIRECTOR6543047

Regulatory assets under management

Total Number of Accounts2,298
AUM (Assets Under Management)$ 376,859,066

Disclosures

Regulatory Event1

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

MWA FINANCIAL SERVICES INC.

CRD#: 112630

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