Carl David Lewis

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 04/2000 → 06/2017
  Lewis Loftin Group
  Houston, TX
• 09/2008 → 06/2017
  Next Financial Group, Inc
  Houston, TX
• 07/2017 → 11/2023
  Lpl Financial, Llc
  Houston, TX
• 11/2023 → Present
  Ameriprise Financial Services, Llc
  Houston, TX

Previous Registrations

• 2017-07-14 → 2023-11-29
  Lpl Financial Llc
  Houston, TX
  Houston, TX
  Allen, TX
• 2008-09-09 → 2017-07-17
  Next Financial Group, Inc.
  Houston, TX
  Houston, TX
• 2008-08-11 → 2008-09-10
  World Choice Securities, Inc.
  Euless, TX
  Houston, TX

Other Businesses

Business Ownership; Resolution Wealth Management, LLC; Owner; Manage Ameriprise Business; 820 Gessner Rd, Suite 1325, Houston, TX, 77024; Investment-Related; 03/29/2012; 60 hours per month; 60 during trading hours. Board of Directors; Woodlake Forest III HOA; president; 1800 Augusta Dr, Suite 200, Houston, TX, 77057; Not Investment-Related; 01/01/2015; 1 to 9 hours per month; 0 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-07-09
• S63 Uniform Securities Agent State Law Examination
  1994-08-29

Other Names

• David Lewis
• Carl D Lewis
• C. David Lewis
• David Lewis
• Carl David Lewis
• Carl David Lewis