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RIA / WealthAdvisor34 years in industry

JOHN DAVID LEWIS

Advisor at REGATTA FINANCIAL LLC

GAITHERSBURG, MD

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Search this name across graphsid dfx:ria:780e2af2-d54e-73e6-731c-05cefca7c530

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Oct 1, 2012 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: REGATTA FINANCIAL 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: Mar 6, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Mar 6, 1992
First registration: Oct 1, 2012
Dual registered: no
IAPD individual key: 2151234

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
REGATTA FINANCIAL LLC	State registered	Jan 1, 2026	n/a	yes	GAITHERSBURG, MD	Current employment
REGATTA FINANCIAL LLC	State registered	Oct 11, 2024	Dec 31, 2024	no	GAITHERSBURG, MD	Previous registration
PRIVATE CLIENT SERVICES, LLC	Bd affiliated wealth	Oct 13, 2020	May 9, 2023	no	Appleton, WI\|ROCKVILLE, MD	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 16, 2017	Aug 18, 2020	no	CHICAGO, IL\|Gaithersburg, MD\|WASHINGTON, DC\|Gloucester, VA\|Washington, DC\|Takoma, MD\|Silver Spring, MD\|Miami, FL\|CHICAGO, IL\|Laurel, MD\|Fort Mill, SC	Previous registration
H. BECK, INC.	Former SEC adviser	Nov 12, 2015	Jul 5, 2017	no	Rockville, MD\|MARRIOTTSVILLE, MD	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Dec 23, 2014	Jul 14, 2015	no	North Bethesda, MD	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 1, 2012	Nov 1, 2014	no	HUNT VALLEY, MD\|REISTERSTOWN, MD\|BALTIMORE, MD	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
PRIVATE CLIENT SERVICES, LLC	REGATTA FINANCIAL LLC	May 9, 2023	Oct 11, 2024	521	Firm change after gap	Ibd to state RIA
CITIGROUP GLOBAL MARKETS INC.	PRIVATE CLIENT SERVICES, LLC	Aug 18, 2020	Oct 13, 2020	56	Firm change	Ibd to RIA
H. BECK, INC.	CITIGROUP GLOBAL MARKETS INC.	Jul 5, 2017	Aug 16, 2017	42	Firm change	Other
PRUCO SECURITIES, LLC	H. BECK, INC.	Jul 14, 2015	Nov 12, 2015	121	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PRUCO SECURITIES, LLC	Nov 1, 2014	Dec 23, 2014	52	Firm change	Other

Relationships

Registered with (6)

→ REGATTA FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 11, 2024 to Dec 31, 2024factForm ADV
→ PRIVATE CLIENT SERVICES, LLCRegistered adviserregistration: previous registration
Oct 13, 2020 to May 9, 2023factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 16, 2017 to Aug 18, 2020factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Nov 12, 2015 to Jul 5, 2017factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 23, 2014 to Jul 14, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 1, 2012 to Nov 1, 2014factForm ADV

Dated events

Occurred
May 9, 2023
Advisor changed firm
John David Lewis left Private Client Services, Llc for Regatta Financial Llc (registered 2024-10-11)
Form ADVobserved 4 days ago