Lisa K. Heerwagen

QP WEALTH MANAGEMENT

Summerland Key, FL

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CRD#: 1288948

Professional summary

Lisa Karen Heerwagen, who also goes by Lisa Karen Braun, is a registered financial advisor currently at QP WEALTH MANAGEMENT, LLC located in Summerland Key, Florida.

Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Lisa has worked at 5 firms and has passed the Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Karen Braun

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.

1) QP WELATH MANAGEMENT, LLC. INVESTMENT RELATED BUSINESS. LOCATED AT 12 CHRISTOPHER WAY, SUITE 103, EATONTOWN, NJ 07724. RIA. TITLE IS CO-FOUNDER, COO, CCO. STARTED 05/2019. 175 HRS/MO DEVOTED DURING TRADING. DUTIES ARE COMPLIANCE AND OPERATING OFFICER, CLIENT SUPPORT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Karen Heerwagen'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

May 14, 2019 - Present

QP WEALTH MANAGEMENT, LLC

RIA

CRD#: 301071

Summerland Key, FL

Past

May 10, 2019 - December 1, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Eatontown, NJ

Past

June 22, 2010 - May 14, 2019

MORGAN STANLEY

RIA

CRD#: 149777

SHREWSBURY, NJ

Past

June 22, 2010 - May 14, 2019

MORGAN STANLEY

CRD#: 149777

SHREWSBURY, NJ

Past

March 16, 2007 - February 16, 2010

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

RED BANK, NJ

Past

March 16, 2007 - February 16, 2010

RBC CAPITAL MARKETS, LLC

CRD#: 31194

RED BANK, NJ

Past

October 6, 2006 - March 26, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SHREWSBURY, NJ

Past

July 18, 2006 - March 26, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SHREWSBURY, NJ

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".

QP WEALTH MANAGEMENT, LLC

CGT WEALTH LLC | QP WEALTH MANAGEMENT, LLC

CRD#: 301071 / SEC#: 801-115196

RIA

Registered Investment Advisory firm - (5/1/2019 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

Florida
(2/16/2022)

IAR

New Jersey
(5/14/2019)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/5/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/4/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/18/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/17/2006

General Securities Representative Examination

Current Firm

QP WEALTH MANAGEMENT, LLC

CGT WEALTH LLC | QP WEALTH MANAGEMENT, LLC

CRD#: 301071 / SEC#: 801-115196

RIA

Registered Investment Advisory firm - (5/1/2019 Approved)

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Contact information

Main Address

2700 N Military Trail Suite 240, Boca Raton, FL 33431

Mailing Address

Phone number

(732) 526-2701

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (7/29/2025)

Regulatory assets under management

Total Number of Accounts	701
AUM (Assets Under Management)	$ 534,534,955

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.

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Advisor Monitoring

Firm Stability Insights

Lisa K. Heerwagen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

QP WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/5/2006

Series 7TO

Date: 7/4/2022

SIE

Date: 10/1/2018

Series 31

Date: 7/18/2008

Series 7

Date: 7/17/2006

Current Firm

QP WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QP WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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