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Tara M. Lewis

Some features on this profile are disabled
CRD#: 4446461
TL

Professional summary

Tara Moree Lewis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Tara is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Tara had worked at 4 firms, which includes INVESTORS CAPITAL CORP., TIMES SECURITIES INC., INVEST FINANCIAL CORPORATION, WADDELL & REED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 26, 2007 - August 27, 2007

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
SCOTTSDALE, AZ
Past

July 6, 2007 - August 27, 2007

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
SCOTTSDALE, AZ
Past

October 17, 2005 - June 14, 2007

TIMES SECURITIES, INC.

BD
CRD#: 118813
SCOTTSDALE, AZ
Past

March 1, 2005 - October 5, 2005

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
SCOTTSDALE, AZ
Past

October 22, 2002 - October 5, 2005

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

September 26, 2001 - March 15, 2002

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/22/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/14/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/4/2006
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/24/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/29/2005
General Securities Principal Examination

Current Firm

IC
INVESTORS CAPITAL CORP.
INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054

BD
Terminated by SEC on 01/17/2017
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Contact information

Main Address
6 Kimball Lane, Lynnfield, MA 01940
Mailing Address
Phone number
Established
Massachusetts since 07/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)
TOWER SQUARE INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event22
Arbitration11

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

INVESTORS CAPITAL CORP.

CRD#: 30613

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