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Craig Lewis

Janney Montgomery Scott LLC
34 Years of Experience
Boston, MA
5 DisclosuresBroker
View SEC Summary
View SEC Summary

Craig Lewis is a registered investment advisor at Janney Montgomery Scott LLC, based in Boston, MA, with 34 years of industry experience. Craig is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 243,808 clients with $110B in assets under management.

Janney Montgomery Scott LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1340 advisors
Number of Clients
243,808 clients
Average Client Portfolio
$452K average
Assets Under Management
$110.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5.0M - $10.0M2.00%
$10.0M - $25.0M2.00%
$25M+2.00%

Fees represent maximum financial advisor fees; additional third-party manager sub-advisory fees may apply depending on the program. All fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

60 State Street, Suite 1350, Boston, MA, 02109-1803

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2021
Final
Employment Separation After Allegations
February 2021
Customer Dispute
December 2012
Award / Judgment
Customer Dispute
January 2009
Denied
Customer Dispute
March 2008
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
March 2021 - Present · 5 yrs 7 mos
Janney Montgomery Scott LLC
March 2021 - Present · 5 yrs 7 mos
Previous Registrations
UBS Financial Services INC.
February 2019 - March 2021 · 2 yrs 1 mo
UBS Financial Services INC.Broker
February 2019 - March 2021 · 2 yrs 1 mo
Morgan StanleyBroker
June 2009 - March 2019 · 9 yrs 9 mos
Morgan Stanley
June 2009 - March 2019 · 9 yrs 9 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
February 2007 - April 2007 · 2 mos
Morgan Stanley
February 2007 - April 2007 · 2 mos
Merrill Lynch Pierce Fenner & Smith INC.
October 2004 - February 2007 · 2 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1992 - February 2007 · 14 yrs 5 mos
State Registrations22 states
CACTFLGAILINKYMAMDMENCNHNJNYOHPARISCTXVAVTWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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