Lisa C. Martin
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 C Martin, who also goes by Lisa Chantel Martin, Lisa Martin, Lisa Chantel Pruitt, Lisa Chantel Rose, Lisa Rose, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1989. Lisa had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2024 - March 19, 2025
LPL ENTERPRISE, LLC
November 6, 2024 - March 19, 2025
LPL ENTERPRISE, LLC
July 17, 2024 - October 1, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 14, 2022 - October 1, 2024
FIDELITY BROKERAGE SERVICES LLC
October 6, 2021 - December 2, 2022
LPL FINANCIAL LLC
October 6, 2021 - December 2, 2022
LPL FINANCIAL LLC
August 2, 2016 - April 21, 2021
RAYMOND JAMES & ASSOCIATES, INC.
August 2, 2016 - April 21, 2021
RAYMOND JAMES & ASSOCIATES, INC.
October 9, 2015 - July 13, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 9, 2015 - July 13, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 2010 - August 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 11, 2006 - August 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2006 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
October 20, 2005 - May 4, 2006
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
May 3, 2000 - October 27, 2005
CITIGROUP GLOBAL MARKETS INC.
March 1, 2000 - May 8, 2000
LPL FINANCIAL LLC
April 18, 1999 - February 22, 2000
CITIGROUP GLOBAL MARKETS INC.
March 2, 1998 - November 24, 1998
RBC CAPITAL MARKETS, LLC
July 30, 1993 - March 2, 1998
DAIN RAUSCHER INCORPORATED
February 25, 1992 - July 8, 1993
WELLS FARGO CLEARING SERVICES, LLC
June 14, 1990 - March 2, 1992
WELLS FARGO INVESTMENTS, LLC
November 21, 1989 - June 11, 1990
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
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 ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
