Unclaimed Profile

Steven Michael Hollis

FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC.·COVINGTON, Louisiana

SIE, Series 7, Series 24, Series 63Clean record28 years registeredFINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC.

72096 RAMOS AVENUE, COVINGTON, LA 70433CRD# 1221707Firm CRD# 109867

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Steven Michael Hollis · COVINGTON, LA

Registration

CRD #1221707 · FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC. · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC.

ARBOR POINT ADVISORS

Jan 2019 – Jul 2022

SAINT CHARLES, MO

BEAM ASSET MANAGEMENT, LLC

Mar 2015 – Jan 2019

SAINT CHARLES, MO

UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.

Jun 2011 – Dec 2015

ST. CHARLES, MO

LPL FINANCIAL LLC

Sep 2009 – Jan 2012

ST. CHARLES, MO

MUTUAL SERVICE CORPORATION

Jan 2003 – Sep 2009

ST. CHARLES, MO

WALNUT STREET ADVISERS INC

Nov 1997 – Jan 2003

ST. CHARLES, MO

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Registration record

First registered · November 24, 1997

Years registered · 28

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

BEAM WEALTH ADVISORS, INC.

CRD 109867 · SEC 801-60334

AUM

$577M

Regulatory assets under management

Employees

2,656 client accounts

Services offered by BEAM WEALTH ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Other advisory services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at BEAM WEALTH ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Steven Michael Hollis offer?

Steven Michael Hollis specializes in Financial Planning, Investment Management, Wealth Management.

What are Steven Michael Hollis's credentials?

Steven Michael Hollis is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Steven Michael Hollis located?

Steven Michael Hollis is based in COVINGTON, Louisiana, last registered with FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC..

How does Steven Michael Hollis charge for services?

Steven Michael Hollis's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC.?

FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC. has approximately 17 employees and manages $577M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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