Alexis Ferris

TLWM FINANCIAL

SAN ANTONIO, TX 78216

CRD#: 8102934

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Professional summary

Alexis Ferris is a registered financial advisor currently at TLWM FINANCIAL located in San Antonio, Texas and LPL FINANCIAL LLC located in San Antonio, Texas.

Alexis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Alexis has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Alexis Ferris'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

September 5, 2025 - Present

TLWM FINANCIAL

Office #1: 40 Ne Loop 410 Suite 644, San Antonio, TX 78216

RIA

CRD#: 158305

SAN ANTONIO, TX

Current

January 6, 2026 - Present

LPL FINANCIAL LLC

Office #1: 40 Ne Loop 410 Ste 644, San Antonio, TX 78216

RIA

CRD#: 6413

SAN ANTONIO, TX

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".

TLWM FINANCIAL

CRD#: 158305 / SEC#: 801-79214

RIA

Registered Investment Advisory firm - (2/28/2014 Approved)

Texas

Registered Investment Advisory firm - (3/3/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Texas
(9/5/2025)

Texas
(1/28/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/27/2026

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/5/2025

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/5/2026

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2025

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

TLWM FINANCIAL

CRD#: 158305 / SEC#: 801-79214

RIA

Registered Investment Advisory firm - (2/28/2014 Approved)

Texas

Registered Investment Advisory firm - (3/3/2014 Terminated)

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Contact information

Main Address

40 Ne Loop 410 Suite 644, San Antonio, TX 78216

Mailing Address

Phone number

+1 (877) 348-8822

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts	2,008
AUM (Assets Under Management)	$ 577,253,765

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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Firm Stability Insights

Alexis Ferris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LPL FINANCIAL LLC

Primary Firm SEC Registration

TLWM FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2026

Series 65

Date: 9/5/2025

Series 7TO

Date: 1/5/2026

SIE

Date: 10/1/2025

FINRA

Current Firm

TLWM FINANCIAL

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TLWM FINANCIAL

TRUST BUT VERIFY

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