James Lewers has been Senior Vice President - Chief Compliance Officer of Brick & Kyle Associates since June 2020, is not listed as a control person, but directly owns under 5% of the firm. James Lewers holds a B.S. in Economics from Fairfield University.
Brick & Kyle Associates Inc is a Newtown, PA firm with $492M under management, 427 clients and 3 advisers in one office, as of its April 2026 filing.
James D. Lewers is Senior Vice President of Brick & Kyle Associates. He specializes in financial planning, insurance counseling and investment management. Before joining the firm, he worked for financial institutions including A.G. Edwards, Swiss Insurance Group and Continental Insurance.
- Brick & Kyle Associates IncCurrent– present · 24 yearsNewtown, PA · Adviser representative · Firm CRD 107771
Professional designations
Listed by Brick & Kyle Associates
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Chartered Life Underwriter (CLU)
- Chartered Financial Consultant (ChFC)
Investment adviser representative registrations
James Lewers is registered as an investment adviser representative in Pennsylvania, since January 2002.
- PennsylvaniaSince 22 January 2002
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 23 April 2007 |
| Series 24 | General Securities Principal Examination | 12 April 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 May 1998 |
| Series 7 | General Securities Representative Examination | 15 May 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Donald Lewers
- CRD
- 3031642
- Firm
- Brick & Kyle Associates · CRD 107771
- Role
- Senior Vice President - Chief Compliance Officer
- Office
- 905 MT. EYRE RD., Newtown, PA 18940
- Registration
- Investment adviser registration
- In the industry since
- July 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- brick-kyle.com
Where does James Lewers work?
James Lewers has been Senior Vice President - Chief Compliance Officer of Brick & Kyle Associates Inc since June 2020.
Is James Lewers a financial advisor?
Yes. James Lewers has a current investment-adviser registration in Pennsylvania, through Brick & Kyle Associates since January 2002.
How many years of experience does James Lewers have?
James Lewers has 28 years in the financial industry, since July 1998, across 1 adviser firm.
What exams has James Lewers passed?
James Lewers has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 9. The earliest, the Series 7, was passed in May 1998. FINRA credited James Lewers with the SIE, which began in October 2018.
Where is James Lewers based?
James Lewers’ registered office is in Newtown, PA.
Is James Lewers registered with FINRA?
No. James Lewers has no current broker registration.
Is James Lewers a CFP?
Brick & Kyle Associates lists James Lewers with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify James Lewers’ record?
Search CRD 3031642 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Lewers’ full registration record.