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Laura K Lyons

CRD# 3059044·Registered 1998 - 2024
Previously Registered: Being a previously registered professional could mean that Laura 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.

Professional Summary

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 advisor. Laura was a previously registered financial professional and started their career in finance 1998 - 2024. Laura had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Laura K Lyons, Laura Kristin Lyons, Laura Lyons Kibler, Laura Kristin Lyons Orthoefer, Laura Lyons Orthoefer

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

Past

ROOKS WEALTH ADVISORS, LLCPast·CRD# 316013
RIA
Chattanooga, TN
September 14, 2023 - January 2, 2024
UBS FINANCIAL SERVICES INC.Past·CRD# 8174
RIA
Knoxville, TN
April 21, 2006 - July 14, 2006
UBS FINANCIAL SERVICES INC.Past·CRD# 8174
BD
Knoxville, TN
April 7, 2006 - July 14, 2006
FIRST HORIZON ADVISORS, INC.Past·CRD# 17117
BD
Memphis, TN
April 18, 2001 - November 1, 2005
ASSET PLANNING CORPORATIONPast·CRD# 7890
BD
Knoxville, TN
May 16, 1998 - January 18, 2001

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Current Firm

RW
ROOKS WEALTH ADVISORS, LLC

ROOKS WEALTH ADVISORS, LLC

CRD#: 316013
Georgia
Registered Investment Advisory firm - Georgia (4/9/2025 Approved)
Tennessee
Registered Investment Advisory firm - Tennessee (9/23/2021 Approved)

Contact Information

Main Address

412 Georgia Avenue Suite 236, Chattanooga, TN, 37403

Phone Number

(423) 690-8090

# of Employees

2

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

119

AUM (Assets Under Management)

$69,000,000

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2006About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1998About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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