Kathleen Lewis has been Chief Compliance Officer of First Affirmative Financial Network since September 2020, is a control person of the firm and directly owns under 5% of it.
First Affirmative Financial Network LLC is a Colorado Springs, CO firm with $905M under management, 2,327 clients and 12 advisers across 10 offices, as of its May 2026 filing.
No adviser firm registrations are on Kathleen Lewis’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 4 May 1989 |
| Series 7 | General Securities Representative Examination | 21 January 1989 |
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Kathleen Joy Lewis
- CRD
- 1868365
- Firm
- First Affirmative Financial Network · CRD 109036
- Role
- Chief Compliance Officer
- Registration
- No current registration reported
- Disciplinary history
- Not yet shown here · SEC record
Where does Kathleen Lewis work?
Kathleen Lewis has been Chief Compliance Officer of First Affirmative Financial Network LLC since September 2020, and is a control person of the firm.
Does Kathleen Lewis have a current investment-adviser registration?
Kathleen Lewis has no current investment-adviser registration reported.
What exams has Kathleen Lewis passed?
Kathleen Lewis has passed 2 licensing exams: the Series 7 and Series 24. The earliest, the Series 7, was passed in January 1989.
Is Kathleen Lewis registered with FINRA?
No. Kathleen Lewis has no current broker registration.
How can I verify Kathleen Lewis’ record?
Search CRD 1868365 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kathleen Lewis’ full registration record.
