Lisa E. Seran
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lisa Engstrom Seran, who also goes by Lisa E Engstrom, Lisa Engstrom, Lisa Engstrom Sonner, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1983. Lisa had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2017 - September 18, 2018
LPL FINANCIAL LLC
August 18, 2016 - September 22, 2016
GOLDEN STATE WEALTH MANAGEMENT, LLC
March 30, 2016 - October 20, 2016
LAKE AVENUE FINANCIAL, LLC
October 30, 2015 - December 31, 2015
LAKE AVENUE FINANCIAL, LLC
September 22, 2015 - October 4, 2016
LPL FINANCIAL LLC
February 28, 2012 - October 5, 2015
CETERA ADVISORS LLC
February 28, 2012 - October 5, 2015
CETERA ADVISORS LLC
August 9, 2011 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
August 9, 2011 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
May 4, 2011 - August 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
May 4, 2011 - August 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
December 9, 2004 - May 4, 2011
PACIFIC WEST FINANCIAL CONSULTANTS INC
November 24, 2004 - May 4, 2011
PACIFIC WEST SECURITIES, INC.
October 6, 2004 - November 24, 2004
KALOS CAPITAL, INC.
April 15, 1999 - October 6, 2004
SII INVESTMENTS, INC.
January 14, 1999 - October 6, 2004
SII INVESTMENTS, INC.
April 30, 1998 - January 19, 1999
LOMBARD SECURITIES INCORPORATED
March 23, 1992 - May 19, 1998
IFMG SECURITIES, INC.
April 20, 1991 - March 25, 1992
IDS LIFE INSURANCE COMPANY
April 20, 1991 - March 25, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 1989 - April 1, 1991
ASB FINANCIAL SERVICES
April 22, 1986 - October 22, 1988
CHARLES SCHWAB & CO., INC.
August 24, 1983 - May 6, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
