John David Lewis

Current Employers

Regatta Financial Llc

Gaithersburg, MD • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APP_PEND_IARCE	2026-01-01

MD RA
APP_PEND_IARCE

Since 2026-01-01

Branch Locations

Gaithersburg, MD • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
H. Beck, Inc.	Bethesda	MD	11/2015	07/2017
Uber Ride Sharing	Bethesda	MD	08/2015	12/2021
Citigroup Global Markets Inc.	Gaithersburg	MD	08/2017	08/2020
Private Client Services	Rockville	MD	09/2020	05/2023
John D. Lewis, Sole Proprietor	Gaithersburg	MD	07/2014	Present
Regatta Financial Llc	Gaithersburg	MD	09/2024	Present
Universal Medical	Elkhart	IN	11/2022	11/2024

11/2015 → 07/2017

H. Beck, Inc.

Bethesda, MD
08/2015 → 12/2021

Uber Ride Sharing

Bethesda, MD
08/2017 → 08/2020

Citigroup Global Markets Inc.

Gaithersburg, MD
09/2020 → 05/2023

Private Client Services

Rockville, MD
07/2014 → Present

John D. Lewis, Sole Proprietor

Gaithersburg, MD
09/2024 → Present

Regatta Financial Llc

Gaithersburg, MD
11/2022 → 11/2024

Universal Medical

Elkhart, IN

Previous Registrations

2024-10-11 → 2024-12-31

Regatta Financial Llc

Gaithersburg, MD
2020-10-13 → 2023-05-09

Private Client Services, Llc

Appleton, WI

Rockville, MD
2017-08-16 → 2020-08-18

Citigroup Global Markets Inc.

Chicago, IL

Gaithersburg, MD

Washington, DC

Gloucester, VA

Washington, DC

Chicago, IL

Laurel, MD

Miami, FL

Takoma, MD

Silver Spring, MD

Fort Mill, SC
2015-11-12 → 2017-07-05

Grove Point Investments, Llc

Rockville, MD

Marriottsville, MD
2014-12-23 → 2015-07-14

Pruco Securities, Llc.

North Bethesda, MD
2012-10-01 → 2014-11-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

Reisterstown, MD

Baltimore, MD

Other Businesses

1) TheraBleu, LLC; not investment related; Gaithersburg, MD; start date of affiliation: 6/1/2020; Title: Co-Owner; Duties: e-Commerce UVC Lamps; 0 hours devoted to the outside activity each month during securities trading hours; 10 hours devoted each month to the outside activity outside of securities trading hours. My wife and I provide uniforms , supplies and lab coats to facilities around the Mid-Atlantic area as ordered through her presence & web. 2) Campus Quick Fix, LLC; not investment related; Gaithersburg, MD; start date of affiliation; 3/1/2025 Title: Owner; Duties started a franchise business for college students to repair cell phones and other devices. 0 hours devoted to the outside activity each month during securities trading hours; 10 hours devoted each month to the outside activity outside of securities trading hours. 3) John D. Lewis, Sole Proprietor; Investment related; Gaithersburg, MD; Insurance sales and service; Insurance Agent; 07/2014; hours 10 per month; 2 during securities trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-09-27
S65	Uniform Investment Adviser Law Examination	1995-01-30
S63	Uniform Securities Agent State Law Examination	1992-03-06

S66 Uniform Combined State Law Examination

2012-09-27
S65 Uniform Investment Adviser Law Examination

1995-01-30
S63 Uniform Securities Agent State Law Examination

1992-03-06

View on SEC IAPD