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RIA / WealthAdvisor31 years in industry

JAMES K LEWIS

Advisor at NATIONAL WEALTH MANAGEMENT GROUP, LLC

CINCINNATI, OH | Westfield, IN

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Search this name across graphsid dfx:ria:6b3b1434-112e-8241-a85c-cf04aa73311f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Feb 27, 2007 to Sep 15, 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: NATIONAL WEALTH MANAGEMENT GROUP, LLC
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: Dec 9, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65|S66
First exam: Dec 9, 1994
First registration: Feb 27, 2007
Dual registered: no
Other names: JIM LEWIS|JAMES KERMIT LEWIS
IAPD individual key: 2551144

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
NATIONAL WEALTH MANAGEMENT GROUP, LLC	Independent wealth	Jan 5, 2022	n/a	yes	Westfield, IN\|CINCINNATI, OH	Current employment
NATIONAL WEALTH MANAGEMENT GROUP, LLC	Independent wealth	Mar 29, 2019	Dec 31, 2021	no	Indianapolis, IN\|CINCINNATI, OH	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 25, 2019	Feb 8, 2019	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration
INDEPENDENT FINANCIAL PARTNERS	Bd affiliated wealth	Mar 22, 2017	Mar 29, 2019	no	Indianapolis, IN	Previous registration
SBC WEALTH MANAGEMENT	Former SEC adviser	Sep 11, 2015	Apr 12, 2017	no	INDIANAPOLIS, IN	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Sep 24, 2015	no	INDIANAPOLIS, IN	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jun 15, 2012	Oct 1, 2012	no	INDIANAPOLIS, IN	Previous registration
EDWARD JONES	National bd RIA	Feb 27, 2007	Jun 12, 2012	no	NOBLESVILLE, IN	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
INDEPENDENT FINANCIAL PARTNERS	LPL FINANCIAL LLC	Mar 29, 2019	Jan 25, 2019	-63	Firm change after gap	Ibd to RIA
LPL FINANCIAL LLC	NATIONAL WEALTH MANAGEMENT GROUP, LLC	Feb 8, 2019	Mar 29, 2019	49	Firm change	RIA to RIA
SBC WEALTH MANAGEMENT	INDEPENDENT FINANCIAL PARTNERS	Apr 12, 2017	Mar 22, 2017	-21	Firm change	Other
J.P. MORGAN SECURITIES LLC	SBC WEALTH MANAGEMENT	Sep 24, 2015	Sep 11, 2015	-13	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
EDWARD JONES	CHASE INVESTMENT SERVICES CORP.	Jun 12, 2012	Jun 15, 2012	3	Firm change	Other

Relationships

Registered with (7)

→ NATIONAL WEALTH MANAGEMENT GROUP, LLCRegistered adviserregistration: previous registration
Mar 29, 2019 to Dec 31, 2021factForm ADV
→ INDEPENDENT FINANCIAL PARTNERSRegistered adviserregistration: previous registration
Mar 22, 2017 to Mar 29, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 25, 2019 to Feb 8, 2019factForm ADV
→ SBC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 11, 2015 to Apr 12, 2017factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Sep 24, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jun 15, 2012 to Oct 1, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 27, 2007 to Jun 12, 2012factForm ADV

Dated events

No dated event names this entity yet.