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RIA / WealthAdvisor17 years in industry

STEVEN KENT LEWIS

Advisor at LEWIS AND ASSOCIATES CAPITAL ADVISORS, LLC

HOLLY SPRINGS, NC

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Search this name across graphsid dfx:ria:67b5757e-b064-5034-c378-aafb31c72cb0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 26, 2009 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: LEWIS AND ASSOCIATES CAPITAL ADVISORS, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 3, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65
First exam: Jun 3, 2009
First registration: Jun 26, 2009
Dual registered: no
Other names: STEVE LEWIS
IAPD individual key: 5688348

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
LEWIS AND ASSOCIATES CAPITAL ADVISORS, LLC	State registered	Oct 12, 2015	n/a	yes	HOLLY SPRINGS, NC	Current employment
BROOKSTONE ASSET MANAGEMENT, LLC	Asset manager	Jun 3, 2019	Dec 31, 2021	no	Holly Springs, NC	Previous registration
BROOKSTONE CAPITAL MANAGEMENT LLC	Independent wealth	Mar 24, 2016	Dec 31, 2018	no	Raleigh, NC\|WHEATON, IL\|Holly Springs, NC	Previous registration
USA FINANCIAL SECURITIES LLC	Independent wealth	Jul 29, 2014	Oct 12, 2015	no	ADA, MI\|RALEIGH, NC	Previous registration
LEWIS AND ASSOCIATES CAPITAL ADVISORS, LLC	State registered	Dec 8, 2011	Jul 29, 2014	no	HOLLY SPRINGS, NC	Previous registration
BROOKSTONE CAPITAL MANAGEMENT LLC	Independent wealth	Jun 26, 2009	Oct 4, 2011	no	HOLLY SPRINGS, MD\|WHEATON, IL	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
BROOKSTONE ASSET MANAGEMENT, LLC	n/a	Dec 31, 2021	n/a	n/a	Departure no registered destination	Departure
BROOKSTONE CAPITAL MANAGEMENT LLC	BROOKSTONE ASSET MANAGEMENT, LLC	Dec 31, 2018	Jun 3, 2019	154	Firm change	RIA to RIA
USA FINANCIAL SECURITIES LLC	LEWIS AND ASSOCIATES CAPITAL ADVISORS, LLC	Oct 12, 2015	Oct 12, 2015	0	Firm change	Other
LEWIS AND ASSOCIATES CAPITAL ADVISORS, LLC	USA FINANCIAL SECURITIES LLC	Jul 29, 2014	Jul 29, 2014	0	Firm change	Other
BROOKSTONE CAPITAL MANAGEMENT LLC	LEWIS AND ASSOCIATES CAPITAL ADVISORS, LLC	Oct 4, 2011	Dec 8, 2011	65	Firm change	Other

Relationships

Registered with (4)

→ LEWIS AND ASSOCIATES CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 8, 2011 to Jul 29, 2014factForm ADV
→ BROOKSTONE ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 3, 2019 to Dec 31, 2021factForm ADV
→ BROOKSTONE CAPITAL MANAGEMENT LLCRegistered adviserregistration: previous registration
Mar 24, 2016 to Dec 31, 2018factForm ADV
→ USA FINANCIAL SECURITIES LLCRegistered adviserregistration: previous registration
Jul 29, 2014 to Oct 12, 2015factForm ADV

Dated events

No dated event names this entity yet.