Brooks E. Lewis
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.
Brooks Ekholm Lewis was a registered financial advisor .
Brooks is a previously registered financial advisor and started their career in finance in 1994. Brooks had worked at 6 firms and has passed the Series 65, Series 63 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 17, 2011 - October 5, 2012
ADVANCED PRACTICE ADVISORS, LLC
October 5, 2009 - May 19, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - May 19, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
May 13, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 24, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 19, 2006 - May 5, 2009
UBS FINANCIAL SERVICES INC.
May 19, 2006 - May 5, 2009
UBS FINANCIAL SERVICES INC.
April 28, 2000 - May 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2000 - May 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1994 - March 15, 2000
EDWARD JONES
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
ADVANCED PRACTICE ADVISORS, LLC
CRD#: 154084 / SEC#: 801-71514
Contact information
Red Flags
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