Lisa A. Schultz

CU INVESTMENT SOLUTIONS LLC

Overland Park, KS 66210

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CRD#: 1862417

Professional summary

Lisa A Schultz, who also goes by Lisa Ann Bottino, Lisa Ann Clavenna, Lisa Ann Schultz, is a registered financial professional currently at CU INVESTMENT SOLUTIONS LLC located in Overland Park, Kansas.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 1988. Lisa has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lisa Ann Bottino | Lisa Ann Clavenna | Lisa Ann Schultz

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lisa A Schultz'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®

None

Experience

Current

June 13, 2016 - Present

CU INVESTMENT SOLUTIONS LLC

Office #1: 8500 W. 110th Street Suite 650, Overland Park, KS 66210

RIA

CRD#: 43753

Overland Park, KS

Past

June 1, 2010 - June 2, 2015

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

DOWNERS GROVE, IL

Past

October 11, 1988 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/1/2021)

California
(2/1/2017)

Colorado
(11/2/2017)

Connecticut
(6/13/2016)

Illinois
(6/13/2016)

Indiana
(6/13/2016)

Iowa
(2/19/2025)

Kentucky
(2/19/2025)

Massachusetts
(6/13/2016)

Michigan
(6/13/2016)

Minnesota
(6/13/2016)

Nebraska
(3/10/2025)

New York
(6/13/2016)

North Carolina
(2/19/2025)

Ohio
(6/13/2016)

South Dakota
(2/19/2025)

Utah
(11/16/2018)

Wisconsin
(2/19/2025)

Wyoming
(5/20/2025)

Exams

State Security Law Exam

Series 63

Date: 10/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/2/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CU INVESTMENT SOLUTIONS LLC

CU INVESTMENT SOLUTION INC | U.S. CENTRAL CAPITAL MARKETS, INC. | CU INVESTMENT SOLUTIONS, INC. | CU INVESTMENT SOLUTIONS LLC | CU INVESTMENT SOLUTIONS INC

CRD#: 43753 / SEC#: , 8-50400

Kansas

Registered Investment Advisory firm - SEC (1/8/1998 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

8500 W. 110th Street Suite 650, Overland Park, KS 66210

Mailing Address

8500 W. 110th Street Suite 650, Overland Park, KS 66210

Phone number

(913) 912-5240

Established

Kansas since 06/30/2011

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ALLOYA CORPORATE FCU	OWNER
CATALYST FEDERAL CREDIT UNION	OWNER
CORPORATE AMERICA CREDIT UNION	OWNER
MILLENNIUM CORPORATE CREDIT UNION	OWNER
TRICORP FEDERAL CREDIT UNION	OWNER
VOLUNTEER CORPORATE CREDIT UNION	OWNER
BECKER, JOSHUA DAMON	CHIEF OPERATING OFFICER	5784666
JACKSON, MATTHEW DAVID	CEO/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER	3251494
THOMAS, BRADFORD LOWELL	CHIEF FINANCIAL OFFICER	6180244

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Lisa A. Schultz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lisa A Schultz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CU INVESTMENT SOLUTIONS LLC

INVESCO DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/7/1994

SIE

Date: 10/1/2018

Series 7

Date: 12/13/1993

Series 6

Date: 9/2/1988

FINRA

Current Firm

CU INVESTMENT SOLUTIONS LLC

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CU INVESTMENT SOLUTIONS LLC

TRUST BUT VERIFY

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