Lisa Aubel

NAVY FEDERAL INVESTMENT SERVICES

Escondido, CA

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CRD#: 1161423

Professional summary

Lisa Aubel, who also goes by Lisa Aubel, Lisa Aubelzegarra, Lisa Buckner, Lisa Buckner, Lisa Aubel Zegarra, Lisa Aubel Zegarra, is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in Escondido, California.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Lisa has worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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 Lisa Aubel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Lisa Aubel'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

July 10, 2018 - Present

NAVY FEDERAL INVESTMENT SERVICES, LLC

Office #2: 9999 Willow Creek Road, San Diego, CA 92131

RIA

CRD#: 138459

Escondido, CA

Current

June 1, 2017 - Present

NAVY FEDERAL INVESTMENT SERVICES, LLC

Office #1: 9999 Willow Creek Road, San Diego, CA 92131

RIA

CRD#: 138459

San Diego, CA

Past

January 5, 2015 - January 4, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

LA JOLLA, CA

Past

June 18, 2013 - December 31, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN DIEGO, CA

Past

April 27, 2011 - October 16, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN DIEGO, CA

Past

August 31, 2005 - March 23, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SANTA ROSA, CA

Past

August 30, 2005 - March 23, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SANTA ROSA, CA

Past

July 20, 2001 - August 8, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 11, 2000 - March 16, 2001

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

January 27, 1999 - September 11, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 2, 1998 - December 15, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 27, 1998 - June 29, 1998

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

August 6, 1994 - April 10, 1996

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

Past

March 8, 1994 - July 25, 1994

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, 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".

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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

California
(6/1/2017)

IAR

California
(7/10/2018)

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

IAR

Series 66

Date: 7/9/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 11/29/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1007 Electric Ave, Vienna, VA 22180

Mailing Address

1007 Electric Ave, Vienna, VA 22180

Phone number

(877) 221-8108

Established

Virginia since 09/06/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

176

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NFIS 2A DISCLOSURE BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
NAVY FEDERAL FINANCIAL GROUP	OWNER
ROSSON, TIMOTHY DAVID	FINOP / PRINCIPAL FINANACIAL OFFICER	7152744
WEISBERG, STEVEN LESLIE	CHIEF COMPLIANCE OFFICER / VP COMPLIANCE, LEGAL & RISK & OPERATIONS	6268061
YOUNG, DIANE	CHIEF OPERATING OFFICER	3098010

Regulatory assets under management

Total Number of Accounts	7,472
AUM (Assets Under Management)	$ 1,713,608,579

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Lisa Aubel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Aubel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Lisa Aubel's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAVY FEDERAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GUARANTY BROKERAGE SERVICES, INC.

BA INVESTMENT SERVICES, INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

NAVY FEDERAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2018

Series 63

Date: 4/25/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/7/1994

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 11/29/1994

FINRA

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

NAVY FEDERAL INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

Contact information

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