Broker Check

Our Ethics

Financial advisor competence is critical. So is advice you can trust.

We prove we are a trustworthy Long Island advisory firm in three ways: 

  • We describe the ethical standards of financial fiduciaries

  • We disclose any client complaints or regulatory actions

  • It's easy to see we have a clean compliance record at FINRA

Full Disclosure

We practice full transparency. You can easily find and view Jeff’s compliance records. 

We encourage you to ask questions to determine if we are a good fit for you.

Use my CRD number to view my compliance record at FINRA/BrokerCheck.

For your information:

  • I have no disclosures on my compliance record

  • I have no criminal disclosures

  • I am a financial fiduciary

  • My CRD number is 2141917 {Jeffrey Charles Lewis}

About FINRA/BrokerCheck

Financial Industry Regulatory Authority (FINRA) maintains the compliance records for all professionals who currently sell investment products.

All you do is enter a CRD number in BrokerCheck to view a compliance record.

Why is this important? You have to be able to trust firms and professionals who will influence or control your financial decisions.


Do you have a question or need help planning your financial future?

Call 631-546-5403 or

Click here to schedule a complementary, no-obligation consultation

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