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Lewis Jacoby

Executive Director & Chief Investment Officer at Spectrum Asset Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
8
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Lewis Jacoby is Executive Director & Chief Investment Officer of Spectrum Asset Management, Inc., a Stamford investment adviser managing $18.3B. Lewis Jacoby has a current broker registration and no current investment-adviser registration and has passed 8 licensing exams.

Role at Spectrum Asset Management

Title on Schedule A
Executive Director & Chief Investment Officer
Control
Lewis Jacoby is a control person of Spectrum Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Lewis Jacoby has held the filed role since January 2010.

The firm

Spectrum Asset Management, Inc.
Stamford, CT

Form ADV filed 5 August 2026

$18.3B AUM74 clients14 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed Series 57TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 55 · 2000
  4. Passed Series 63 and Series 3 · 1995
  5. Passed Series 53 and Series 24 · 1989
  6. Passed Series 7 · 1984

Registrations and exams

Broker registration; no current adviser registration. Lewis Jacoby has passed 8 qualifying exams.

Examinations

Series 6320 March 1995
Name
Uniform Securities Agent State Law Examination
Series 249 January 1989
Name
General Securities Principal Examination
Series 533 January 1989
Name
Municipal Securities Principal Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 5528 September 2000
Name
Limited Representative-Equity Trader Exam
Series 317 April 1995
Name
National Commodity Futures Examination
Series 717 March 1984
Name
General Securities Representative Examination

Individual record

Full name
Lewis Phillip Jacoby
CRD
1238147
Firm
Spectrum Asset Management, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Lewis Jacoby work?

Lewis Jacoby has been Executive Director & Chief Investment Officer of Spectrum Asset Management, Inc. since January 2010, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 5 August 2026

Does Lewis Jacoby have a current investment-adviser registration?

Lewis Jacoby has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Lewis Jacoby passed?

Lewis Jacoby has passed 8 licensing exams: the Series 7, Series 53, Series 24, Series 63, Series 3, Series 55, SIE and Series 57TO. The earliest, the Series 7, was passed in March 1984.

Source: IAPD individual record, checked 17 October 2026

Leadership at Spectrum Asset Management

  • Mark Lieb
    President & Chief Executive Officer
  • Jean Orlando
    Financial Operations Principal & Chief Financial Officer
  • Matthew Byer
    Executive Director & Chief Operating Officer
  • Joseph Hanczor
    Managing Director & Chief Compliance Officer

Sources

  1. IAPD individual record, CRD 1238147. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Spectrum Asset Management, Inc., filed 5 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Lewis Jacoby or Spectrum Asset Management, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.