John Joseph Lewis

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2016-08-10
WA	RA	APPROVED	2016-03-15
AZ	RA	APPROVED	2013-12-09
CA	RA	APPROVED	2012-09-19
MD	RA	APPROVED	2012-09-19
TX	RA	APPROVED_RES	2012-09-19
WI	RA	APPROVED	2012-09-19

CO RA
APPROVED

Since 2016-08-10
WA RA
APPROVED

Since 2016-03-15
AZ RA
APPROVED

Since 2013-12-09
CA RA
APPROVED

Since 2012-09-19
MD RA
APPROVED

Since 2012-09-19
TX RA
APPROVED_RES

Since 2012-09-19
WI RA
APPROVED

Since 2012-09-19

Branch Locations

Lake Forest, CA • United States

1422 Edinger Avenue, Ste 230, Tustin, CA 92780 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Lewis & Lack A Financial Services Corp	Irvine	CA	01/1988	Present
Osaic Wealth, Inc.	Santa Ana	CA	08/1994	Present
Liberty Capital Managment	Santa Ana	CA	07/1997	Present

01/1988 → Present

Lewis & Lack A Financial Services Corp

Irvine, CA
08/1994 → Present

Osaic Wealth, Inc.

Santa Ana, CA
07/1997 → Present

Liberty Capital Managment

Santa Ana, CA

Previous Registrations

2008-10-22 → 2015-05-01

Lcm Advisory Services, Llc

Santa Ana, CA
1997-11-17 → 2009-07-01

Liberty Capital Management, Inc.

Santa Ana, CA

Other Businesses

1. LEWIS & LACK, A FINANCIAL SERVICES CORPORATION POSITION: Owner - NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 08/05/1987 ADDRESS: 1811 East Garry Avenue Santa Ana, CA 92705, Santa Ana CA 92705, United States DESCRIPTION: Accounting and Bookkeeping services. 2. GRANITE PROPERTIES LLC; NOT INVESTMENT RELATED; OWNER; 1811 EAST GARRY AVE SANTA ANA CA 92705; START DATE 15 ; 15; ACCOUNTING AND MANAGEMENT OF COMMERCIAL OFFICE BUILDING. 3. LIBERTY CAPITAL MANAGEMENT, INC. POSITION: Owner - NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 18 SECURITIES TRADING HOURS: 0 START DATE: 07/09/1998 ADDRESS: 1811 East Garry Avenue Santa Ana, CA 92705, Santa Ana CA 92705, United States DESCRIPTION: I am a Principal and equal-owner of Liberty Capital Management, Inc. (LCM). LCM is an operating company, not involved in securities or life insurance. I am responsible for all of LCM's accounting functions, and I also assist in general management duties. 4. GRANITE PROPERTIES - TIC POSITION: Tenant In Common NATURE: 6 individuals have are equal partners and owners of an office building in which we conduct our securities business. The 6 equal owners and other Registered Representatives of Royal Alliance Associates, Inc. pay rent into a tenants in common (TIC) bank account, and related building expenses are paid from the TIC bank account. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/06/2022 ADDRESS: 1811 East Garry Avenue, Santa Ana CA 92705, United States DESCRIPTION: Manage all aspects of the property, facilitate repairs, maintenance, and dealing with tenant requests.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-06-30
S63	Uniform Securities Agent State Law Examination	1996-09-03

S65 Uniform Investment Adviser Law Examination

2000-06-30
S63 Uniform Securities Agent State Law Examination

1996-09-03

View on SEC IAPD