David Wayne Lewis

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2010 → Present
  Lpl Financial, Llc
  Houston, TX

Previous Registrations

• 2009-12-17 → 2010-05-12
  Edward Jones
  La Porte, TX
• 2005-10-27 → 2009-07-07
  Chase Investment Services Corp.
  Pasadena, TX
  Pasadena, TX
• 2003-05-30 → 2005-10-28
  Strategic Advisers Llc
  Houston, TX

Other Businesses

(1) 07/02/2010: REAL ESTATE RENTAL - RENTAL PROPERTY LOCATED AT 3715 BRIGHTON SPRINGS KATY, TX 77449. (2) 07/02/2010: DBA ONLY - CUELLAR FINANCIAL GROUP - HOUSTON, TX. (3) 01/26/2015 - LEWIS CAPITAL MGMT, ICN DBA: RED SAFE AND LOCK SERVICE - OTHER - HARDWARE STORE - ASSIST WITH PAYROLL AND PAY BILLS FOR MY HARDWARE STORE. - TIME SPENT 5 HOURS PER MONTH - HOUSTON, TX (4) 04/08/2015 - REAL ESTATE RENTAL - 1 HOUR PER MONTH - PASADENA, TX

Exams

• S66 Uniform Combined State Law Examination
  2001-06-11
• S63 Uniform Securities Agent State Law Examination
  1995-02-09