Thomas Lewis has been Legal Counsel & Chief Compliance Officer of Krilogy Financial since April 2016, is a control person of the firm and directly owns under 5% of it. Thomas Lewis holds a B.S. in Finance with a minor in Economics from the University of Dayton and a Juris Doctor from St. Louis University Law School.
Krilogy Financial LLC is a St. Louis, MO firm with $5.2B under management, 3,204 clients and 65 advisers across 6 offices, as of its March 2026 filing.
Thomas J. Lewis is Partner, Counsel and Chief Compliance Officer of Krilogy. As Counsel and CCO, he advises the firm's executives on legal and regulatory matters and works across the firm's departments on its regulatory infrastructure, risk and compliance program. He has over 18 years of legal experience, the majority of which has focused on general counsel work. Separately, he is Managing Partner of Krilogy Law, a separate entity affiliated with Krilogy Financial through common ownership.
Thomas Lewis’ longest registration is the current one, 10 years at Krilogy Financial since 2016. Before joining Krilogy Financial in 2016, Thomas Lewis was registered through Saxony Capital Management, LLC and Edward Jones.
- Saxony Capital Management, LLC– · under a yearSaint Louis, MO · Adviser representative · Firm CRD 122692
- Edward Jones– · 3 yearsSt Louis, MO · Adviser representative · Firm CRD 250
Investment adviser representative registrations
Thomas Lewis is registered as an investment adviser representative in Missouri, since April 2016.
- MissouriSince 21 April 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 3 November 2014 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 22 December 2012 |
| Series 24 | General Securities Principal Examination | 28 June 2012 |
| Series 66 | Uniform Combined State Law Examination | 20 April 2012 |
| Series 7 | General Securities Representative Examination | 20 December 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5951077
- Firm
- Krilogy Financial · CRD 149046
- Role
- Legal Counsel & Chief Compliance Officer
- Office
- 275 N. LINDBERGH, STE. 20, St. Louis, MO 63141
- Registration
- Investment adviser registration
- In the industry since
- December 2011
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- krilogy.com
Where does Thomas Lewis work?
Thomas Lewis has been Legal Counsel & Chief Compliance Officer of Krilogy Financial LLC since April 2016, and is a control person of the firm.
Is Thomas Lewis a financial advisor?
Yes. Thomas Lewis has a current investment-adviser registration in Missouri, through Krilogy Financial since April 2016.
How many years of experience does Thomas Lewis have?
Thomas Lewis has 14 years in the financial industry, since December 2011, across 3 adviser firms.
What exams has Thomas Lewis passed?
Thomas Lewis has passed 5 licensing exams: the Series 7, Series 66, Series 24, Series 10 and Series 9. The earliest, the Series 7, was passed in December 2011. FINRA credited Thomas Lewis with the SIE, which began in October 2018.
Where did Thomas Lewis work before Krilogy Financial?
Before Krilogy Financial, Thomas Lewis was registered through Saxony Capital Management, LLC, August 2015 to April 2016; Edward Jones, April 2012 to August 2015.
Where is Thomas Lewis based?
Thomas Lewis’ registered office is in St. Louis, MO.
Is Thomas Lewis registered with FINRA?
No. Thomas Lewis has no current broker registration.
How can I verify Thomas Lewis’ record?
Search CRD 5951077 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Lewis’ full registration record.
