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Detailed Report
HERMAN KORRICK LEWKOWITZ
CRD#: 4157908
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 6232 N 32ND ST
PHOENIX, AZ 85018
CETERA INVESTMENT SERVICES LLCCRD#: 15340 6232 N 32ND ST
PHOENIX, AZ 85018
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2010 (3 years)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2017 - Present (7 years)BBMO HARRIS FINANCIAL ADVISORS,... (CRD# 137115)2011 - 2013 (2 years)BUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2000 - 2006 (6 years)
License(s)

State Registrations

B
Arizona 5/8/2017
B
Nevada 7/26/2019
IA
Arizona 5/8/2017
B
New Mexico 4/8/2019
B
California 7/26/2019
B
Oklahoma 6/20/2018
B
Colorado 7/26/2019
B
Oregon 5/21/2019
B
Delaware 4/8/2019
B
Rhode Island 7/7/2023
B
Florida 10/22/2021
B
Texas 4/8/2019
B
Kansas 6/20/2019
IA
Texas 1/12/2023
B
Maryland 4/8/2019
B
Utah 7/26/2019
B
Montana 7/26/2019
B
Washington 7/26/2019
B
Nebraska 5/20/2024
B
Wyoming 4/8/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
6232 N 32ND ST, PHOENIX, AZ 85018
Registered with this firm since 5/8/2017
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
6232 N 32ND ST, PHOENIX, AZ 85018
Registered with this firm since 4/28/2017
Previous Registration(s)
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IA
 05/25/2016 - 07/28/2016 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) PHOENIX, AZ
B
 03/30/2016 - 07/28/2016 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) PHOENIX, AZ
B
 01/12/2011 - 07/19/2013 BMO HARRIS FINANCIAL ADVISORS, INC. (CRD#:137115) PHOENIX, AZ
IA
 09/21/2006 - 07/06/2010 CONTANGO CAPITAL ADVISORS, INC. (CRD#:131308) PHOENIX, AZ
B
 08/15/2006 - 07/06/2010 ZIONS DIRECT, INC. (CRD#:17776) PHOENIX, AZ
B
 04/18/2000 - 08/15/2006 UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.