Lisa A. Meyer
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 Ann Meyer, who also goes by Lisa Dunklau, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1985. Lisa had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2015 - February 5, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 17, 2015 - February 5, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 7, 2010 - June 18, 2015
FIRST NATIONAL CAPITAL MARKETS
June 1, 2010 - June 18, 2015
FIRST NATIONAL CAPITAL MARKETS
May 19, 2006 - June 2, 2010
CETERA INVESTMENT SERVICES LLC
January 28, 2005 - June 2, 2010
CETERA INVESTMENT SERVICES LLC
February 13, 2000 - September 4, 2001
PIPER SANDLER & CO.
February 16, 1996 - February 7, 2005
U.S. BANCORP INVESTMENTS, INC.
July 31, 1990 - March 22, 1996
FIRSTIER SECURITIES, INC.
September 20, 1988 - July 30, 1990
MARKETING ONE SECURITIES, INC.
August 6, 1985 - September 21, 1988
N.I.S. FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
