Laura E. Lewis-roe
Professional summary
Laura Elizabeth Lewis-roe, who also goes by Laura Elizabeth Lewis, Laura Roe, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Fort Worth, Texas and FROST BROKERAGE SERVICES, INC. located in Fort Worth, Texas.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Laura has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Laura Elizabeth Lewis-roe's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2022 - Present
FROST INVESTMENT SERVICES
Office #1: 640 Taylor St Ste 1000, Fort Worth, TX 76102April 3, 2001 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 640 Taylor St Ste 1000, Fort Worth, TX 76102Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/3/2001)
(5/24/2022)
Exams
FINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
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