Lewis E. Carns
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lewis Earl Carns JR, who also goes by Lew Carns, Lewis E Carns, Lewis Earl Carns II, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1992. Lewis had worked at 7 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2011 - November 7, 2016
FFEC WEALTH PARTNERS LLC
October 5, 2009 - May 19, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
September 20, 2007 - December 31, 2008
AMERIPRISE ADVISOR SERVICES, INC.
August 10, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
February 20, 1997 - August 15, 2007
A. G. EDWARDS & SONS, INC.
October 18, 1993 - February 26, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
July 31, 1993 - October 29, 1993
CITIGROUP GLOBAL MARKETS INC.
January 6, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
