Lisa D. Lettieri
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 Dion Lettieri, CFP®, who also goes by Lisa Dion Jagerman, Lisa Jagerman, Lisa Jagerman, Lisa D Lettieri, Lisa Lettieri, Lisa Dion Simonson, Lisa Simonson, Lisa Simonson, Lisa Dion Velez, Lisa Velez, Lisa Velez, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1985. Lisa had worked at 18 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2018
Experience
April 17, 2023 - June 19, 2026
LPL FINANCIAL LLC
April 12, 2023 - June 19, 2026
LPL FINANCIAL LLC
November 5, 2020 - November 10, 2022
APELLA WEALTH
February 21, 2020 - October 19, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 19, 2020 - October 19, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 21, 2017 - December 2, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 21, 2017 - December 2, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 20, 2016 - January 26, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
April 20, 2016 - January 26, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
September 17, 2015 - April 12, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 11, 2015 - April 12, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 6, 2011 - July 1, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2011 - July 1, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2010 - August 19, 2011
MORGAN STANLEY
October 28, 2010 - August 19, 2011
MORGAN STANLEY
June 2, 2000 - August 29, 2000
THE CAMELOT GROUP, INC.
October 13, 1995 - June 5, 1998
COMMONWEALTH ASSOCIATES
February 10, 1995 - October 17, 1995
AUERBACH, POLLAK & RICHARDSON INC.
April 19, 1993 - October 4, 1993
REICH & CO., INC.
January 7, 1993 - May 5, 1993
MARTIN SIMPSON & COMPANY, INC.
June 9, 1992 - November 25, 1992
H.J. MEYERS & CO., INC.
February 10, 1992 - June 13, 1992
BISHOP, ROSEN & CO., INC.
March 4, 1991 - January 6, 1992
LAIDLAW GLOBAL SECURITIES, INC.
April 20, 1990 - March 14, 1991
PRUDENTIAL EQUITY GROUP, LLC
March 30, 1987 - May 8, 1989
NEEDHAM & COMPANY, LLC
January 13, 1987 - March 17, 1987
HAMBRECHT & QUIST LLC
August 20, 1985 - July 22, 1986
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
