Lisa N. Marek
Professional summary
Lisa Nicole Marek, who also goes by Lisa Nicole Estill, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Valparaiso, Indiana and CETERA INVESTMENT SERVICES LLC located in Valparaiso, Indiana.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Lisa has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Nicole Marek's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 150 Lincolnway, Valparaiso, IN 46383October 1, 2004 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 150 Lincolnway Ste 2004, Valparaiso, IN 46383November 10, 2006 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
April 4, 2000 - September 30, 2004
NATIONAL PLANNING CORPORATION
July 23, 1999 - April 10, 2000
BANC ONE SECURITIES CORPORATION
October 14, 1998 - July 12, 1999
NATCITY INVESTMENTS, INC.
July 2, 1993 - September 1, 1998
NYLIFE SECURITIES LLC
June 10, 1991 - July 10, 1992
METROPOLITAN LIFE INSURANCE COMPANY
June 10, 1991 - July 10, 1992
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/3/2015)
(7/24/2020)
(9/17/2019)
(10/1/2004)
(2/19/2025)
(10/15/2004)
(10/1/2004)
(1/21/2014)
(10/1/2004)
(5/26/2021)
(7/12/2017)
(5/21/2025)
(4/22/2020)
(7/20/2005)
(9/21/2021)
(7/25/2017)
(3/20/2018)
(9/27/2016)
(4/14/2005)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Valparaiso, IN 46383TRUST BUT VERIFY
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