Tori Catherine 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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2023-12-18
OK	RA	APPROVED	2023-12-18
IN	RA	APPROVED	2023-06-21
NY	RA	APPROVED	2023-06-14
FL	RA	APPROVED	2023-06-06
TX	RA	APPROVED	2023-06-05

MI RA
APPROVED

Since 2023-12-18
OK RA
APPROVED

Since 2023-12-18
IN RA
APPROVED

Since 2023-06-21
NY RA
APPROVED

Since 2023-06-14
FL RA
APPROVED

Since 2023-06-06
TX RA
APPROVED

Since 2023-06-05

Branch Locations

Clearwater, FL • United States

923 E. Klosterman Rd, Tarpon Springs, FL 34689 • 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
At Your Service Tax & Accounting Inc.	Clearwater	FL	01/1991	Present
Baywood Village Homeowners Association	Palm Harbor	FL	01/2007	Present
Sigma Financial Corporation	Ann Arbor	MI	07/2014	06/2023
Spc	Ann Arbor	MI	07/2014	06/2023
Lpl Financial Llc	Tarpon Springs	FL	06/2023	Present

01/1991 → Present

At Your Service Tax & Accounting Inc.

Clearwater, FL
01/2007 → Present

Baywood Village Homeowners Association

Palm Harbor, FL
07/2014 → 06/2023

Sigma Financial Corporation

Ann Arbor, MI
07/2014 → 06/2023

Spc

Ann Arbor, MI
06/2023 → Present

Lpl Financial Llc

Tarpon Springs, FL

Previous Registrations

2014-08-01 → 2023-06-08

Spc

Tarpon Springs, FL

Clearwater, FL

Ann Arbor, MI
2004-01-01 → 2014-08-04

Voya Financial Advisors, Inc.

Dunedin, FL

Tampa, FL

Clearwater, FL

Clearwater, FL

Bradenton, FL

Tarpon Springs, FL
2002-02-02 → 2004-01-01

Locust Street Securities, Inc.

Clearwater, FL

Other Businesses

1. 06/05/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 07/19/2023 - Tori Lewis & At Your Service Financial, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 1/1/2001 - 9 Hours Per Month/ 5 Hours During Trading - Time Spent 5% 3. 07/19/2023 - Tori Lewis - Not Investment Related - Home Based - Artist/Musician - Start Date 01/01/1995 - 9 Hours Per Month - Time Spent 5% 4. 07/19/2023 - At Your Service Tax & Accounting, Inc - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date 06/14/1993 - 120 Hours Per Month/ 28 Hours During Trading - Time Spent 70% 5. 07/19/2023 - Multiple properties - 3 - Investment Related - Speedway, IN - Real Estate Rental - Owner - Start Date 12/15/2011 - 15 Hours Per Month/ 1 Hour During Trading - Time Spent 10%

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-12-20
S63	Uniform Securities Agent State Law Examination	1998-10-29

S65 Uniform Investment Adviser Law Examination

2001-12-20
S63 Uniform Securities Agent State Law Examination

1998-10-29

Designations

Certified Financial Planner

Other Names

Tori Catherine Schmidt

View on SEC IAPD