James LewisCRD Number: 6241400
Current Firm: Planmember Securities Corporation
James Lewis (CRD# 6241400) is an Investment Advisor Representative working at Planmember Securities Corporation in Carpinteria, CA and has over 3 years of experience in the finance industry.
Greyfox Investors LLC
Montecito Investment Strategies
Haven Capital Group
|Planmember Securities Corporation||Carpinteria, CA||Jun 2014 - Current||2|
|Axa Advisors, LLC||New York, NY||Nov 2013 - Apr 2014||< 1|
|Ojai Valley School||Ojai, CA||Sep 2013 - Oct 2013||< 1|
|Ojai Valley School||Ojai, CA||Jun 2013 - Aug 2013||< 1|
|Silvergreens Restaurant||Isla Vista, CA||Sep 2012 - Jun 2013||< 1|
|University Of Ca, Santa Barbara||Santa Barbara, CA||Sep 2011 - Jun 2013||1|
|Lake Casitas Water Adventure||Ojai, CA||May 2012 - Sep 2012||< 1|
|Ojai Valley School||Ojai, CA||Jun 2012 - Aug 2012||< 1|
|Lake Casitas Water Adventure||Ojai, CA||May 2011 - Sep 2011||< 1|
|Rainbow Bridge Deli||Ojai, CA||Dec 2009 - May 2011||1|
|Ojai Recreation Department||Ojai, CA||Nov 2010 - Mar 2011||< 1|
|Lake Casitas Water Adventure||Ojai, CA||May 2010 - Sep 2010||< 1|
|Ojai Recreation Department||Ojai, CA||Nov 2009 - Mar 2010||< 1|
|Lake Casitas Water Adventure||Ojai, CA||May 2009 - Sep 2009||< 1|
|Soule Park Restaurant||Ojai, CA||Nov 2008 - Jun 2009||< 1|
|Ojai Recreation Department||Ojai, CA||Nov 2008 - Mar 2009||< 1|
|Lake Casitas Water Adventure||Ojai, CA||May 2008 - Sep 2008||< 1|
|Ojai Pizza||Ojai, CA||Mar 2006 - Apr 2008||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Dec 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management2,638MILLIONS
Total Number of Accounts49,000ACCOUNTS
Average Account Value$53,828
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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