Wayne Lewis has been an investment adviser representative at Lewis Financial since May 2014, and is not listed among the firm’s executive officers or direct owners.
Lewis Financial, LLC is a San Luis Obispo, CA firm with $134M under management, 255 clients and 3 advisers in one office, as of its February 2026 filing.
Wayne E. Lewis is Investment Advisor Representative with Lewis Financial, based in San Luis Obispo, CA. He has been a financial advisor in San Luis Obispo, with experience in financial advising, district management, and compliance, and currently serves as a Financial Advisor for Lewis Financial LLC, a Registered Investment Advisor. He is a member of Charitable Gift Planners and a Charter Member of Advisors in Philanthropy.
Wayne Lewis’ longest registration is the current one, 12 years at Lewis Financial since 2014. Before joining Lewis Financial in 2014, Wayne Lewis was registered through LPL Financial LLC and Ameriprise Financial Services, Inc.
- Lewis Financial, LLCCurrent– present · 12 yearsSan Luis Obispo, CA · Adviser representative · Firm CRD 170324
- LPL Financial LLC– · 10 yearsSan Luis Obispo, CA · Adviser representative · Firm CRD 6413
- Ameriprise Financial Services, Inc.– · 7 yearsSan Luis Obispo, CA · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Wayne Lewis is registered as an investment adviser representative in California, since May 2014.
- CaliforniaSince 28 May 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 14 January 2010 |
| Series 24 | General Securities Principal Examination | 3 August 1995 |
| Series 7 | General Securities Representative Examination | 14 December 1985 |
| Series 22 | Direct Participation Programs Representative Examination | 15 February 1984 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 13 January 1983 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Wayne Evan Lewis
- CRD
- 1037214
- Firm
- Lewis Financial · CRD 170324
- Office
- 3590 Sacramento Drive, Suite 140, San Luis Obispo, CA 93401
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 1983
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- lewisfinancialslo.com
Where does Wayne Lewis work?
Wayne Lewis is an investment adviser representative registered through Lewis Financial, LLC since May 2014, and is not listed among the firm’s executive officers or direct owners.
Is Wayne Lewis a financial advisor?
Yes. Wayne Lewis has a current investment-adviser registration in California, through Lewis Financial since May 2014.
How many years of experience does Wayne Lewis have?
Wayne Lewis has 43 years in the financial industry, since January 1983, across 3 adviser firms.
What exams has Wayne Lewis passed?
Wayne Lewis has passed 5 licensing exams: the Series 6, Series 22, Series 7, Series 24 and Series 63. The earliest, the Series 6, was passed in January 1983. FINRA credited Wayne Lewis with the SIE, which began in October 2018.
Where did Wayne Lewis work before Lewis Financial?
Before Lewis Financial, Wayne Lewis was registered through Ameriprise Financial Services, Inc., December 1997 to October 2005.
Where is Wayne Lewis based?
Wayne Lewis’ registered office is in San Luis Obispo, CA.
Is Wayne Lewis registered with FINRA?
Yes. Wayne Lewis has a current broker registration, under CRD 1037214.
Source: FINRA BrokerCheck
How can I verify Wayne Lewis’ record?
Search CRD 1037214 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Wayne Lewis’ full registration record.
