Michael Kevin Lewallen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (4)

SIESeries 7Series 65Series 63

Registered states (52)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

35

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Charles Schwab & Co., Inc.

Firm CRD

5393

SEC number

801-29938

Assets under management

Not yet retrieved from the source record

Website

www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗

Phone

415-667-7000

Firm location

San Francisco, CA, 94105

Employment history (19)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

  Lone Tree, CO · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Lone Tree, CO · BC capacity
  start not retrieved → present
• Wells Fargo Clearing Services, LLC

  Loveland, CO · IA capacity
  Feb 5, 2019 → Jan 27, 2021
• Wells Fargo Clearing Services, LLC

  Loveland, CO · BC capacity
  Feb 4, 2019 → Jan 27, 2021
• Cuna Brokerage Services, Inc.

  Birmingham, AL · IA capacity
  Jan 10, 2014 → Feb 1, 2019
• Cuna Brokerage Services, Inc.

  Birmingham, AL · BC capacity
  Jan 10, 2014 → Feb 1, 2019
• Prudential Financial Planning Services

  Birmingham, AL · IA capacity
  Jan 4, 2013 → Jan 7, 2014
• Pruco Securities, LLC.

  Birmingham, AL · BC capacity
  Nov 21, 2012 → Jan 7, 2014
• Transamerica Capital, Inc.

  Denver, CO · BC capacity
  Apr 16, 2010 → Oct 23, 2012
• Investment Advisors

  Birmingham, AL · IA capacity
  Nov 2, 2009 → Apr 30, 2010
• Proequities, Inc.

  Birmingham, AL · BC capacity
  Oct 29, 2009 → Apr 30, 2010
• John Hancock Advisers, LLC

  Birmingham, AL · IA capacity
  Dec 6, 2008 → Oct 13, 2009
• John Hancock Distributors LLC

  Boston, MA · BC capacity
  Jun 29, 2004 → Oct 13, 2009
• John Hancock Distributors LLC

  Birmingham, AL · IA capacity
  Jun 29, 2004 → Dec 31, 2006
• Lincoln Financial Distributors, Inc.

  Birmingham, AL · IA capacity
  Dec 20, 2002 → Jun 14, 2004
• Lincoln Financial Distributors, Inc.

  Radnor, PA · BC capacity
  Dec 19, 2002 → Jun 14, 2004
• Seligman Advisors, Inc.

  Boston, MA · BC capacity
  Aug 11, 1998 → Oct 8, 2002
• Legg Mason Wood Walker, Incorporated

  Baltimore, MD · BC capacity
  Feb 6, 1997 → Jul 31, 1998
• Merrill Lynch, Pierce, Fenner & Smith Incorporated

  New York, NY · BC capacity
  Feb 8, 1991 → Feb 21, 1997

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.