LK
Lisa S. Karlin
CETERA INVESTMENT ADVISERS LLC
WAYNE, PA 19087
Some features on this profile are disabled
CRD#: 2056175
LK
Professional summary
Lisa Sloan Karlin, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wayne, Pennsylvania and CETERA ADVISORS LLC located in Wayne, Pennsylvania.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Lisa has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 05/01/2013; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 HOUR; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE. 2. NAME OF OTHER BUSINESS: DBA MAGIS FINANCIAL PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/01/2013; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT/ FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES & INSURANCE BUSINESS. 3. NAME OF OTHER BUSINESS: CONGREGATION OHEV SHALOM; INVESTMENT RELATED: NO; ADDRESS: 2 CHESTER ROAD, WALLINGFORD, PA 19086 NATURE OF BUSINESS: EGALITARIAN CONGREGATION; START DATE: 05/2017; POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: REVIEW BUDGET, APPROVE EXPENDITURES; 4. NAME OF OTHER BUSINESS: CONGREGATION OHEV SHALOM; INVESTMENT RELATED: NO; ADDRESS: 2 CHESTER RD, WALLINGFORD, PA 19086; NATURE OF BUSINESS: NON-PROF; START DATE: 07/2022; POSITION/TITLE/RELATIONSHIP: COMMITTEE CHAIR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: SERVE ON BOARD; BUDGET & AUDIT COMMITTEE - REVIEW BUDGET, DONATION FUNDS & APPROVE EXPENDITURES; COMMITTEE CHAIR OF SOCIAL ACTION COMMITTEE - COORDINATE ADMINISTRATION & PROVIDE OVERSIGHT OF MULTIPLE SCHOLARSHIPS & DONATIONS TO VARIOUS NONPROFIT COMMUNITY ORGANIZATIONS. ASSIST IN DELIVERY OF RELATED EDUCATIONAL PROGRAMS TO MEMBERS;
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Sloan Karlin'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®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 460 E Swedesford Road Suite 2030, Wayne, PA 19087RIA
CRD#: 105644
WAYNE, PA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 460 E Swedesford Road Suite 2030, Wayne, PA 19087BD
CRD#: 10299
Wayne, PA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
February 12, 2014 - March 9, 2021
MAGIS FINANCIAL PARTNERS
RIA
CRD#: 121445
HORSHAM, PA
Past
August 7, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
HORSHAM, PA
Past
May 15, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
HORSHAM, PA
Past
January 6, 2003 - May 15, 2009
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
HORSHAM, PA
Past
May 6, 2002 - January 6, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
January 2, 1998 - April 24, 2002
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
September 19, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
NEW YORK, NY
Past
June 28, 1990 - August 29, 1997
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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
RR
Arizona(10/11/2017)
RR
Delaware(10/3/2016)
RR
District of Columbia(10/3/2016)
RR
Florida(4/27/2021)
RR
Maryland(10/3/2016)
RR
Massachusetts(10/3/2016)
RR
Michigan(10/3/2016)
RR
New Jersey(10/3/2016)
RR
New York(10/3/2016)
RR
Pennsylvania(10/3/2016)
IAR
Pennsylvania(3/21/2024)
RR
Rhode Island(10/3/2016)
RR
Virginia(6/21/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
