Dana M. 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.
Dana Marie Lewis, who also goes by Dana Marie Armitage, was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1998. Dana had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2012 - May 16, 2018
AVANTAX ADVISORY SERVICES
August 19, 2010 - May 16, 2018
AVANTAX INVESTMENT SERVICES, INC.
December 13, 2006 - December 31, 2008
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
September 12, 2006 - December 31, 2008
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
March 15, 2005 - September 7, 2006
MERRIMAC CORPORATE SECURITIES, INC.
March 19, 1998 - January 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
March 12, 1998 - January 28, 2003
IDS LIFE INSURANCE COMPANY
March 12, 1998 - January 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
