Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl David Lewis is a financial advisor in Houston, TX. Carl has been in the financial industry since 1993. Carl is currently registered with Ameriprise Financial Services, LLC. Prior to this, Carl was registered with LPL FINANCIAL LLC, NEXT FINANCIAL GROUP, INC., WORLD CHOICE SECURITIES, INC., PRINCOR FINANCIAL SERVICES CORPORATION, JEFFERSON PILOT SECURITIES CORPORATION, JEFFERSON-PILOT INVESTOR SERVICES, INC., MML INVESTORS SERVICES, INC., AETNA INVESTMENT SERVICES, INC., and ROTAN MOSLE INC.. Carl is a licensed Investment Advisor Representative in TX. Carl holds the following licenses: Series 6, Series 7, Series 63, Series 65, and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
TX
11/16/2023 - Present
Ameriprise Financial Services, LLC (Houston TX)
TX
07/14/2017 - 11/29/2023
LPL FINANCIAL LLC (HOUSTON TX)
TX
09/09/2008 - 07/17/2017
NEXT FINANCIAL GROUP, INC. (HOUSTON TX)
TX
09/15/2006 - 09/10/2008
WORLD CHOICE SECURITIES, INC. (HOUSTON TX)
TX
04/15/1999 - 09/21/2006
PRINCOR FINANCIAL SERVICES CORPORATION (HOUSTON TX)
IN
10/01/1997 - 04/21/1999
JEFFERSON PILOT SECURITIES CORPORATION (FORT WAYNE IN)
IN
12/06/1995 - 10/01/1997
JEFFERSON-PILOT INVESTOR SERVICES, INC. (FORT WAYNE IN)
MA
02/07/1995 - 10/04/1995
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
CT
08/08/1994 - 01/30/1995
AETNA INVESTMENT SERVICES, INC. (WINDSOR CT)
NA
10/29/1986 - 02/08/1988
ROTAN MOSLE INC.
IA
Issued 07/09/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2005
Series 7 - General Securities Representative Examination
BC
Issued 08/05/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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