Broker Check

Jim Lewis, AAMS®

Wealth Advisor

Why choose an AAMS® Designee

With all of the complex financial planning
information available today, an AAMS® designee
can give you knowledgeable advice.

The Code sets forth the responsibilities of each ACCREDITED ASSET MANAGEMENT SPECIALIST designee to the public, to his or her colleagues, and to clients. Adherence to this Code of Ethics by persons authorized to use the ACCREDITED ASSET MANAGEMENT SPECIALIST designation is mandatory. Failure to adhere to the Code of Ethics could result in revocation of the ACCREDITED ASSET MANAGEMENT SPECIALIST or AAMS® right to use the marks.

An Accredited Asset Management Specialist designee shall act with competence, exercise due diligence, and use prudent professional judgment in all professional activities.

An Accredited Asset Management Specialist designee shall not, without first obtaining the consent of the client, disclose any confidence, except as compelled by law.

An Accredited Asset Management Specialist designee shall disclose any potential conflicts of interest to his or her client and shall not solicit clients through false or misleading statements or advertisements.

An Accredited Asset Management Specialist designee shall keep informed of and abide by the laws and regulations of the securities industry, including, but not limited to, the NASD Conduct Rules.

An Accredited Asset Management Specialist designee recognizes the need for and agrees to participate annually in continuing professional education.


Making crucial asset management decisions can seem like an insurmountable task. These decisions involve not only investments but also insurance, tax, retirement, and estate planning, along with many other financial considerations. Managing a person’s total financial situation encompasses a myriad of asset management choices and strategies to serve a variety of needs and accomplish a variety of goals. You’ve worked too hard saving for your family’s future to trust just anyone with your asset management needs.

We Know How to Manage Assets

Turn to a professional on asset management for your advice—an Accredited ASSET MANAGEMENT SPECIALIST or AAMS® designee. AAMS® designees have a broad knowledge of asset management. They can effectively identify, analyze, and recommend strategies that are designed for your diverse needs.

AAMS® designees distinguishes themselves by identifying opportunities not only in investment planning, but also by making comprehensive recommendations to pursue a broad range of your financial goals—from saving for your children’s college education to tax planning strategies to building a nest egg for your retirement. With all of the complex financial planning information available today, an AAMS® designee can give you knowledgeable advice on the most suitable assets and strategies for your total financial needs

Get Advice from a Professional

Educational Program: The College for Financial Planning® provides AAMS® students with a thorough education focusing exclusively on asset management. Study materials are written and updated regularly by the College’s full-time faculty, who specialize in investments, insurance, taxation, retirement planning, and estate planning, and work closely with investment professionals to provide the most current information available.

Client Needs Assessment: The AAMS® program emphasizes how to assess a client’s total financial situation and needs—and then thoroughly evaluate assets under management and make appropriate recommendations. This is what distinguishes this program from others in the industry.

Build Lasting Relationships: A goal of the AAMS® designee is to build lasting relationships with clients. They learn to recognize hidden opportunities by identifying their clients’ needs within the broader context of asset management, including investments, taxation, retirement, estate planning, insurance, and more.

AAMS® Mark: To be entitled to use this mark, candidates must successfully complete the specialized program and:

  • pass a rigorous examination,
  • sign a code of professional ethics, and
  • complete a disclosure form attesting to their professional conduct.

American Council on Education (ACE): The AAMS® program has been reviewed by ACE and recommended for college credit in the upper-division baccalaureate level in the categories of finance or investments.

Continuing Education Credit: All AAMS® designees must sign a commitment to ongoing continuing education credit to ensure that they stay current in the field.

When you start looking for knowledgeable advice and thorough analysis on asset management, look for an ACCREDITED ASSET MANAGEMENT SPECIALIST designee—a financial advisor with asset management skills.

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