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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

Steven James Lewis

Advisor at VERITY ASSET MANAGEMENT

ABERDEEN, NC | DURHAM, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 22, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VERITY ASSET MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 8, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 8, 1986
First registration: Jul 22, 2002
Dual registered: yes, broker-dealer
Other names: STEVEN JAMES LEWIS|STEVE LEWIS
IAPD individual key: 1526636

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VERITY ASSET MANAGEMENT	Independent wealth	Jul 29, 2011	n/a	yes	ABERDEEN, NC\|DURHAM, NC	Current employment
VERITY INVESTMENTS, INC.	n/a	Oct 31, 2006	Jul 29, 2011	no	DURHAM, NC\|DURHAM, NC\|ABERDEEN, NC\|APEX, NC\|APEX, NC\|DURHAM, NC	Previous registration
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS	n/a	Mar 10, 2006	Oct 25, 2006	no	RALEIGH, NC	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Jan 21, 2005	Sep 16, 2005	no	DURHAM, NC	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 22, 2002	Jan 3, 2005	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VERITY INVESTMENTS, INC.	VERITY ASSET MANAGEMENT	Jul 29, 2011	Jul 29, 2011	0	Firm change	Other
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS	VERITY INVESTMENTS, INC.	Oct 25, 2006	Oct 31, 2006	6	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS	Sep 16, 2005	Mar 10, 2006	175	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	SUNTRUST INVESTMENT SERVICES, INC.	Jan 3, 2005	Jan 21, 2005	18	Firm change	Other

Relationships

Registered with (5)

→ VERITY ASSET MANAGEMENTRegistered adviserregistration: current employment
Jul 29, 2011 to presentfactForm ADV
→ VERITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Oct 31, 2006 to Jul 29, 2011factForm ADV
→ HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTSRegistered adviserregistration: previous registration
Mar 10, 2006 to Oct 25, 2006factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 21, 2005 to Sep 16, 2005factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 22, 2002 to Jan 3, 2005factForm ADV

Dated events

No dated event names this entity yet.