Alexis N. Vasquez

BROOKSTONE WEALTH ADVISORS

Westlake Village, CA 91362

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CRD#: 6108346

Professional summary

Alexis Nicole Vasquez, who also goes by Alexis Lizarraga, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Westlake Village, California.

Alexis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Alexis has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexis Lizarraga

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) - RIA

Click below to view Alexis Nicole Vasquez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 8, 2019 - Present

BROOKSTONE WEALTH ADVISORS, LLC

Office #1: 5743 Corsa Ave. Suite 109, Westlake Village, CA 91362

RIA

CRD#: 137658

Westlake Village, CA

Past

May 5, 2017 - April 5, 2019

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Woodland Hills, CA

Past

September 25, 2015 - March 4, 2016

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

CALABASAS, CA

Past

June 9, 2015 - March 4, 2016

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

CALABASAS, CA

Past

October 11, 2012 - March 20, 2014

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

LODI, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/8/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/2012

General Securities Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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.

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Alexis N. Vasquez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexis Nicole Vasquez's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTONE WEALTH ADVISORS, LLC

HORTER INVESTMENT MANAGEMENT, LLC

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2013

SIE

Date: 3/4/2016

Series 7

Date: 10/10/2012

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

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