Herbert L. Lewis

TRADITION WEALTH MANAGEMENT LLC

Woodbury, MN 55125

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CRD#: 864941

Professional summary

Herbert L Lewis, who also goes by Herbert Lee Lewis Sr, Herbert Lee Lewis, is a registered financial advisor currently at TRADITION WEALTH MANAGEMENT LLC located in Woodbury, Minnesota and PRIVATE CLIENT SERVICES, LLC located in Woodbury, Minnesota.

Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Herbert has worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 2 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Herbert Lee Lewis Sr | Herbert Lee Lewis

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) Tradition Wealth Management LLC. 7616 Currell Blvd, Suite 110, Woodbury, MN 55125. RIA. 18 hrs/mo; 18 during trading hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert L 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®

None

Experience

Current

July 11, 2018 - Present

TRADITION WEALTH MANAGEMENT LLC

Office #1: 7616 Currell Boulevard Suit 110, Woodbury, MN 55125

RIA

CRD#: 128314

Woodbury, MN

Current

January 31, 2025 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 7616 Currell Blvd #110, Woodbury, MN 55125

RIA

CRD#: 120222

Woodbury, MN

Past

July 11, 2018 - January 31, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Edina, MN

Past

January 2, 2015 - July 11, 2018

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

Minneapolis, MN

Past

January 6, 2011 - July 11, 2018

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

MINNEAPOLIS, MN

Past

June 8, 2010 - April 11, 2011

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

March 19, 2010 - December 31, 2014

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

SAINT PAUL, MN

Past

March 5, 2009 - April 16, 2010

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

ST. PAUL, MN

Past

October 31, 2005 - March 23, 2010

OSAIC SERVICES, INC.

CRD#: 133763

ST. PAUL, MN

Past

November 29, 1996 - August 6, 1997

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

October 15, 1993 - October 25, 2000

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

June 18, 1989 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

December 17, 1985 - November 29, 1996

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

Past

July 30, 1984 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

July 14, 1983 - August 3, 1984

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 19, 1983 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Past

June 4, 1982 - July 18, 1983

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

Past

March 4, 1981 - February 6, 1986

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

December 29, 1980 - November 29, 1996

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

ENGLEWOOD, CO

Past

April 23, 1979 - March 5, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

ST. PAUL, MN

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".

TRADITION WEALTH MANAGEMENT LLC

CRD#: 128314 / SEC#: 801-62666

RIA

Registered Investment Advisory firm - (1/30/2004 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

Arizona
(1/31/2025)

Florida
(1/31/2025)

Illinois
(1/31/2025)

IAR

Minnesota
(7/11/2018)

Minnesota
(1/31/2025)

Pennsylvania
(1/31/2025)

Wisconsin
(1/31/2025)

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 65

Date: 9/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/24/1986

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: 12/17/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/12/1979

Registered Representative Examination

General Industry/Product Exam

Series 2

Date: 7/22/1971

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 24

Date: 11/1/1985

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRADITION WEALTH MANAGEMENT LLC

CRD#: 128314 / SEC#: 801-62666

RIA

Registered Investment Advisory firm - (1/30/2004 Approved)

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Contact information

Main Address

7601 France Avenue South Suite 100, Edina, MN 55435

Mailing Address

Phone number

(952) 563-6500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRADITION WEALTH MANAGEMENT ADVII (3/26/2025)

Regulatory assets under management

Total Number of Accounts	5,271
AUM (Assets Under Management)	$ 1,950,074,593

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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Advisor Monitoring

Firm Stability Insights

Herbert L. Lewis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Herbert L Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

REGULUS FINANCIAL GROUP, LLC

REGAL INVESTMENT ADVISORS LLC

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

OSAIC SERVICES, INC.

EMPOWER FINANCIAL SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

SUNAMERICA SECURITIES, INC.

THE GREAT-WEST LIFE ASSURANCE COMPANY

SOUTHMARK FINANCIAL SERVICES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

AETNA LIFE INSURANCE AND ANNUITY COMPANY

WOODBURY FINANCIAL SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

THE GREAT-WEST LIFE ASSURANCE COMPANY

HIMCO DISTRIBUTION SERVICES COMPANY

Primary Firm SEC Registration

TRADITION WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/16/1999

Series 63

Date: 6/24/1986

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1983

Series 1

Date: 4/12/1979

Series 2

Date: 7/22/1971

Series 24

Date: 11/1/1985

FINRA

Current Firm

TRADITION WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRADITION WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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