Steven LewisCRD Number: 1844875
Current Firm: J.p. Morgan Securities LLC
Steven Lewis (CRD# 1844875) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Chicago, IL and has over 28 years of experience in the finance industry.
Waddell & Reed
Forum Financial Management, LP
|Jp Morgan Securities LLC||Chicago, IL||Sep 2013 - Current||3|
|Unemployed||Chicago, IL||Jul 2012 - Aug 2013||1|
|Genworth Financial Securities Corporation||Schaumburg, IL||May 2008 - Jun 2012||4|
|Genworth Financial Advisers Corporation||Schaumburg, IL||May 2008 - Jun 2012||4|
|Dti Financial||Chicago, IL||Aug 2007 - Apr 2008||< 1|
|Northern Trust Securities, Inc.||Chicago, IL||Apr 2007 - Jul 2007||< 1|
|Wachovia Securities, LLC||Chicago, IL||Mar 2004 - Mar 2007||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1988|
|S65||NASAA Investment Advisors Law Examination||Nov 1995|
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:
- Judgments / Liens
Total Assets Under Management70,743MILLIONS
Total Number of Accounts344,720ACCOUNTS
Average Account Value$205,219
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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, VI, VT, WA, WI, WV
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