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SIMON DAVID LEWIS
CRD#: 2143351
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 4655 Executive Dr Ste 300
San Diego, CA 92121-3123
Registration History
19952000200520102015202020252 FIRMS1997 - 2008 (10 years)2 FIRMS2008 - 2018 (10 years)2 FIRMS2018 - Present (6 years)BSMITH BARNEY INC. (CRD# 7059)1992 - 1997 (4 years)BM.L. STERN & CO. INC. (CRD# 8327)1991 - 1992 (1 year)
Disclosure(s)
View By:
7/15/2008
Customer Dispute
Settled
7/15/2008
Customer Dispute
Settled
7/15/2008
Customer Dispute
Settled
5/6/2008
Customer Dispute
Settled
5/5/2008
Customer Dispute
Settled
3/31/2008
Customer Dispute
Settled
3/20/2008
Customer Dispute
Settled
6/24/1999
Customer Dispute
Pending
License(s)

State Registrations

B
Arizona 8/31/2018

B
Massachusetts 8/27/2024

B
California 8/31/2018

B
Nevada 9/19/2018

IA
California 8/31/2018

B
New York 8/31/2018

B
Colorado 8/31/2018

B
North Carolina 2/21/2022

B
Connecticut 8/31/2018

B
Oklahoma 9/4/2018

B
Florida 9/4/2018

B
Oregon 8/31/2018

B
Idaho 5/31/2022

B
Tennessee 9/4/2018

B
Illinois 8/31/2018

IA
Texas 4/15/2020

B
Kansas 5/2/2023

B
Texas 4/16/2020

B
Louisiana 5/6/2019

B
Utah 8/31/2018

B
Maryland 3/18/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
4655 Executive Dr Ste 300, San Diego, CA 92121-3123
La Jolla, CA
Registered with this firm since 8/31/2018

B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
4655 Executive Dr Ste 300, San Diego, CA 92121-3123
La Jolla, CA
Registered with this firm since 8/31/2018

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/02/2008 - 09/06/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
B
05/02/2008 - 09/06/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
IA
07/08/1997 - 05/13/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) LA JOLLA, CA
B
08/07/1997 - 05/13/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) BEVERLY HILLS, CA
B
10/11/1992 - 08/01/1997 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
10/24/1991 - 10/09/1992 M.L. STERN & CO. INC. (CRD#:8327) BEVERLY HILLS, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.