Lewis Morton Wallensky

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

• 06/1970 → Present
  Lewis M Wallensky
  Los Angeles, CA
• 03/2000 → 11/2017
  National Planning Corp
  Los Angeles, CA
• 11/2017 → Present
  Lpl Financial Llc
  Los Angeles, CA

Previous Registrations

• 2000-09-27 → 2017-11-29
  National Planning Corporation
  Los Angeles, CA
  Los Angeles, CA

Other Businesses

1. 11/29/2017 - LEWIS WALLENSKY & ASSOCIATES, INC - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only. 2. 11/29/2017 - JEWISH BIG BROTHERS - Not Investment Related - At Reported Business Location(s) - Non-Profit Board Member - 1 hour per month. 3. 11/29/2017 - Wallensky Spatz & Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - President - start date 2011. 4. 11/29/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life - whole, term, disability, LTC. 5. 02/14/2018 - LEWIS M. WALLENSKY ASSOCIATES - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Start Date 01/05/2017 - 35 Hours Per Month - I provide financial planning and consulting services through [FIRM], an independent investment advisor firm. I started this business activity in 01/2018. I expect to spend approximately 35 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-08-22

Designations

• Certified Financial Planner

Other Names

• Lewis Morton Wallensky