Lisa A. Roberts

CETERA INVESTMENT ADVISERS LLC

EASTHAM, MA

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CRD#: 1181025

Professional summary

Lisa Ann Roberts, who also goes by Lisa Ann Leuschen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eastham, Massachusetts and CETERA WEALTH SERVICES, LLC located in Eastham, Massachusetts.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Lisa has worked at 7 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 22 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Ann Leuschen

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.

NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 3 SETTLERS TRACE; EASTHAM; MA; 02642; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 3/24/2009; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Ann Roberts'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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 44 West 72nd Street #3f, New York, NY 10023

RIA

CRD#: 105644

EASTHAM, MA

Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EASTHAM, MA

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 23, 2010 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

EASTHAM, MA

Past

April 7, 2009 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

EASTHAM, MA

Past

April 4, 2006 - April 22, 2009

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

SARATOGA SPRINGS, NY

Past

September 2, 2005 - April 22, 2009

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

SARATOGA SPRINGS, NY

Past

September 30, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 4, 1985 - June 4, 1987

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

November 17, 1981 - October 30, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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
(6/9/2021)

Colorado
(12/10/2024)

Connecticut
(8/17/2022)

Florida
(6/10/2021)

Indiana
(6/9/2021)

Iowa
(6/9/2021)

Kentucky
(6/9/2021)

Louisiana
(5/1/2024)

Massachusetts
(6/9/2021)

IAR

Massachusetts
(6/29/2023)

Michigan
(11/13/2025)

New Hampshire
(6/10/2022)

New Jersey
(6/9/2021)

New York
(6/9/2021)

North Carolina
(6/9/2021)

Pennsylvania
(6/9/2021)

Rhode Island
(6/9/2021)

Vermont
(1/3/2023)

Virginia
(1/3/2023)

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: 9/16/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/13/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/22/2002

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 11/2/1983

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 39

Date: 11/10/1983

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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 A. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

MORGAN STANLEY DW INC.

L. F. ROTHSCHILD & CO. INCORPORATED

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2002

SIE

Date: 10/1/2018

Series 31

Date: 9/13/2002

Series 7

Date: 8/22/2002

Series 22

Date: 11/2/1983

Series 39

Date: 11/10/1983

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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