Lisa M. Smith
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 Marie Smith, who also goes by Lisa Marie Corbin, Lisa Piper, Lisa Marie Smith, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1992. Lisa had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2018 - June 3, 2024
FBL WEALTH MANAGEMENT, LLC
July 26, 2018 - June 3, 2024
FBL MARKETING SERVICES, LLC
July 23, 2002 - June 26, 2018
INVESTMENT ADVISORS CORP
October 31, 2001 - June 26, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
October 5, 1992 - September 5, 2001
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
FBL WEALTH MANAGEMENT, LLC
CRD#: 291396 / SEC#: 801-113458
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FBL WEALTH MANAGEMENT, LLC
CRD#: 291396 / SEC#: 801-113458
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 8,654,949 |
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.
