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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2022-05-18
KY RA APPROVED 2022-05-18
  • IN RA
    APPROVED
    Since 2022-05-18
  • KY RA
    APPROVED
    Since 2022-05-18

Branch Locations

804 Hausfeldt Ln, New Albany, IN 47150 • United States

710 Pillsbury Ln, New Albany, IN 47150 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cuna Brokerage Services Waverly IA 11/2016 Present
Centra Credit Union Columbus IN 11/2016 Present
Unemployed Louisville KY 08/2016 11/2016
Lpl Financial Llc New Albany IN 05/2022 Present
  • 11/2016 → Present
    Cuna Brokerage Services
    Waverly, IA
  • 11/2016 → Present
    Centra Credit Union
    Columbus, IN
  • 08/2016 → 11/2016
    Unemployed
    Louisville, KY
  • 05/2022 → Present
    New Albany, IN
Previous Registrations
  • 2016-12-07 → 2022-05-18
    Cuna Brokerage Services, Inc.
    New Albany, IN
  • 2015-11-23 → 2016-08-30
    Investment Professionals, Inc.
    Louisville, KY
    San Antonio, TX
  • 2013-08-20 → 2015-12-08
    Louisville, KY
    Louisville, KY
    Jeffersonville, IN
    Jeffersonville, IN
  • 2010-09-27 → 2012-10-04
    Bb&T Investment Services, Inc.
    Louisville, KY
    Charlotte, NC
    Louisville, KY
    Louisville, KY
    Louisville, KY
    La Grange, KY
    Louisville, KY
    Louisville, KY
    Louisville, KY
  • 2009-11-13 → 2010-09-13
    Louisville, KY
    Louisville, KY
  • 2009-04-15 → 2009-11-13
    Natcity Investments, Inc.
    Louisville, KY
  • 2008-04-23 → 2009-02-20
    Morgan Stanley & Co. Llc
    Louisville, KY
Other Businesses

1)05/18/2022 - Centra Financial Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business) 2)05/18/2022 - Contra Financial Services, LLC/ Division of Centra Credit Union-Investment Related- At Reported Business Location(s)- Financial Institution Duty- Financial Advisor- Start Date- 2002- 160 Hours Per Month/ 160 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-22
S63 Uniform Securities Agent State Law Examination 2008-03-12
  • S66 Uniform Combined State Law Examination
    2008-04-22
  • S63 Uniform Securities Agent State Law Examination
    2008-03-12
Other Names
  • Ernie G Lewis
  • Ernie G Lewis
  • Ernie Guy Lewis Jr
  • Ernie Guy Lewis Jr.
  • Ernie Guy Lewis

View on SEC IAPD

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