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Thomas Glenn Lewis

LPl Financial LLC

Monroe, LA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-06-14
LA RA APPROVED 2011-11-03
  • TX RA
    APPROVED
    Since 2018-06-14
  • LA RA
    APPROVED
    Since 2011-11-03

Branch Locations

1888 Hudson Cir, Suite 3, Monroe, LA 71201 • 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
Lpl Financial Monroe LA 11/2011 Present
Lewis And Miller, Llc Monroe LA 06/2015 Present
  • 11/2011 → Present
    Lpl Financial
    Monroe, LA
  • 06/2015 → Present
    Lewis And Miller, Llc
    Monroe, LA
Previous Registrations
Other Businesses

(1) 06/15/2015 - LEWIS - MILLER - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - At Reported Business Location(s) - START 06/12/2015 - 160 HRS/MO DURING SECS TRDG HRS (2) 06/19/2015 - LEWIS AND MILLER, LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - At Reported Business Location(s) - START 06/02/2015 - 8 HRS/MO DURING SECS TRDG HRS (3) 11/9/2018 - The Plus Group Texas/PGT - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:11/02/2018 - 5 Hours Per Month/5 Hours During Trading. (4) 6/10/2019 - Lewis Miller Personal Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/01/2019 - 160 Hours Per Month During Securities Trading. (5) 02/20/2026 - Lewis Financial Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/10/2026 - 160 hours per month/ during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-08-11
S63 Uniform Securities Agent State Law Examination 1992-01-22
  • S65 Uniform Investment Adviser Law Examination
    1994-08-11
  • S63 Uniform Securities Agent State Law Examination
    1992-01-22
Other Names
  • Tom Lewis

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