LA
Lisa A. Allen
WATERLOO CAPITAL
AUSTIN, TX 78746
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CRD#: 1198978
LA
Professional summary
Lisa Ann Allen, who also goes by Lisa Ann Fowler, is a registered financial advisor currently at WATERLOO CAPITAL located in Austin, Texas.
Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Lisa has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Ann Fowler
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.
NO. 1 - NAME OF BUSINESS: WATERLOO CAPITAL LP. INVESTMENT RELATED. ADDRESS: 7200 N MOPAC SUITE 320 AUSTIN, TX 78731. NATURE OF BUSINESS: INVESTMENT ADVISORY FIRM. POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE. START DATE: JANUARY 2018. HOURS PER MONTH: 120. HOURS PER MONTH DURING SECURITIES TRADING HOURS: 120. DUTIES/RESPONSIBILITIES: PROVIDES INVESTMENT ADVISORY SERVICES. DBA FOR INVESTMENT ADVISORY SERVICES.
NO. 2 - NAME OF BUSINESS: IOTA OF CHI OMEGA FRATERNITY. INVESTMENT RELATED. ADDRESS: 2711 RIO GRANDE ST AUSTIN TX 78701. NATURE OF BUSINESS: NON-PROFIT SORORITY HOUSE CORPORATION. POSITION/TITLE/RELATIONSHIP: BOARD MEMBER. START DATE: 1998. HOURS PER MONTH: 2. HOURS PER MONTH DURING SECURITIES TRADING HOURS: 2. DUTIES/RESPONSIBILITIES: PROVIDES OVERSIGHT TO THE TREASURER ON FINANCIAL STATEMENTS AND REPORTING FOR THE ORGANIZATION. PROVIDES GUIDANCE ON OUTSIDE MONEY MANAGEMENT.
NO. 3 - NAME OF BUSINESS: PLANNINGWORKS, INC. INVESTMENT RELATED. ADDRESS: 7200 N MOPAC SUITE 320 AUSTIN, TX 78731. NATURE OF BUSINESS: FINANCIAL PLANNING AND FIXED INSURANCE. POSITION/TITLE/RELATIONSHIP: PARTNER. START DATE: 2002. HOURS PER MONTH: 200. HOURS PER MONTH DURING SECURITIES TRADING HOURS: 100. DUTIES/RESPONSIBILITIES: DBA FOR FULL FINANCIAL PLANNING AND INSURANCE SOLUTIONS.
NO. 4 - NAME OF BUSINESS: LISA ALLEN INSURANCE. NON-INVESTMENT RELATED. ADDRESS: 7200 N MOPAC SUITE 320 AUSTIN, TX 78731. NATURE OF BUSINESS: INSURANCE. POSITION/TITLE/RELATIONSHIP: OWNER/SOLE PROPRIETOR. START DATE: 1983. HOURS PER MONTH: 5-10. HOURS PER MONTH DURING SECURITIES TRADING HOURS: 5-10. DUTIES/RESPONSIBILITIES: SALE OF DISABILITY, LONG TERM CARE, AND LIFE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Ann Allen's 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®
NoneExperience
Current
January 8, 2018 - Present
WATERLOO CAPITAL
Office #1: 2801 Via Fortuna Suite 250, Austin, TX 78746RIA
CRD#: 133705
AUSTIN, TX
Past
August 17, 2016 - December 31, 2017
SMART MONEY GROUP, LLC
RIA
CRD#: 284187
Austin, TX
Past
August 15, 2016 - April 9, 2020
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
Austin, TX
Past
February 7, 2003 - August 15, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
AUSTIN, TX
Past
June 26, 2002 - February 7, 2003
THE MASTERS, INC.
RIA
CRD#: 108432
AUSTIN, TX
Past
June 25, 2002 - August 15, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
AUSTIN, TX
Past
January 18, 2001 - June 28, 2002
RUSHMORE SECURITIES CORPORATION
BD
CRD#: 8392
DALLAS, TX
Past
May 26, 2000 - February 26, 2001
NORTHSTAR SECURITIES, INC.
BD
CRD#: 11247
DALLAS, TX
Past
October 19, 1990 - May 26, 2000
CHOICE INVESTMENTS, INC.
BD
CRD#: 17665
AUSTIN, TX
Past
May 28, 1985 - December 7, 1987
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
Past
February 21, 1985 - October 29, 1990
KNIBBE FINANCIAL GROUP, INC.
BD
CRD#: 14436
Past
October 20, 1983 - February 21, 1985
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BD
CRD#: 839
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".
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT
CRD#: 133705 / SEC#: 801-63975
RIA
Registered Investment Advisory firm - (3/11/2005 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.Highlighted states indicate IAR registrations
IAR
Texas(1/8/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT
CRD#: 133705 / SEC#: 801-63975
RIA
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Contact information
Main Address
2801 Via Fortuna Suite 250, Austin, TX 78746
Mailing Address
Phone number
(512) 777-5900
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,775 |
| AUM (Assets Under Management) | $ 1,686,618,820 |
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.
