Laura K. Lyons
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.
Laura K Lyons, who also goes by Laura K Lyons, Laura Kristin Lyons, Laura Lyons Kibler, Laura Kristin Lyons Orthoefer, Laura Lyons Orthoefer, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1998. Laura had worked at 4 firms and has passed the Series 66, 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
September 14, 2023 - January 2, 2024
ROOKS WEALTH ADVISORS, LLC
April 21, 2006 - July 14, 2006
UBS FINANCIAL SERVICES INC.
April 7, 2006 - July 14, 2006
UBS FINANCIAL SERVICES INC.
April 18, 2001 - November 1, 2005
FIRST HORIZON ADVISORS, INC.
May 16, 1998 - January 18, 2001
ASSET PLANNING CORPORATION
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
ROOKS WEALTH ADVISORS, LLC
CRD#: 316013 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 125 |
| AUM (Assets Under Management) | $ 53,500,000 |
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.
