Lisa P. Zarkin
SEQUOIA WEALTH MANAGEMENT
Naperville, IL 60563
Some features on this profile are disabled
CRD#: 2158487
Professional summary
Lisa P Zarkin, CFP®, who also goes by Lisa P Ballotti, Lisa Pauline Ballotti, Lisa Ballotti, Lisa P Carava, is a registered financial advisor currently at SEQUOIA WEALTH MANAGEMENT, LLC located in Naperville, Illinois and LPL FINANCIAL LLC located in Naperville, Illinois.
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 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Estate Planning
Insurance Planning
Tax Planning
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
Employee and Employer Plan Ben...
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Lisa P Ballotti | Lisa Pauline Ballotti | Lisa Ballotti | Lisa P Carava
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. IRON GATE MOTOR CONDOS SINCE 11/2019 BOARD MEMBER. 2. 11/30/2010 - PlanSmart Financial Services, Inc. - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 3. 03/06/2014 - Zoo On Yoo, Inc. - INV REL - Business Owner - 10% TIME SPENT - I own a hair and body care for kids product line. I am involved directly with every aspect of this business. 4. 10/12/2015 - Layla Bali - NOT INV REL -3179 Kingbird Ln, Naperville, IL 60564 - Author - START 09/21/1 - I wrote a book and am self publishing it. 5. 5/10/2017 - SEQUOIA WEALTH MANAGEMENT, LLC - DBA: (HYBRID) Sequoia Wealth Management - investment related - At reported business location(s) - Registered Investment Advisor Hybrid - IAR - start 04/21/2017 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through SEQUOIA WEALTH MANAGEMENT, LLC, an independent investment advisor firm. I started this business activity in 04/2017. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 3/26/2019 - HARMONEY, LLC - Investment Related - 2252 FERRY RD., BUILDING M UNIT 102, NAPERVILLE, IL 60563 - Real Estate Rental - Start Date: 03/23/2019 - 4 Hours Per Month/0 Hours During Securities Trading. 7. 7/15/2019 - Sequoia Financial Network - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 04/21/2017 - 10 Hours Per Month/10 Hours During Securities Trading - Sell Life Insurance and Long Term Care Life mainly. 8. 08/21/2019 - Lisa Zarkin Author - Investment related - 3179 Kingbird Ln., Naperville, IL 60564 - Author - start date:08/05/2019 - 10 hrs/mo - 0 hrs during trading. 9. LPL FINANCIAL BROKER DEALER REGISTERED REP SINCE 09/2009 INVESTMENT RELATED 10. ALL LIFE ANIMAL RESCUE BOARD MEMBER
CRS (Client Relationship Summary) - RIA
Click below to view Lisa P Zarkin'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®
CFP®
Start date: 1999
Experience
Current
May 9, 2017 - Present
SEQUOIA WEALTH MANAGEMENT, LLC
Office #1: 2252 Ferry Rd. Unit 102, Naperville, IL 60563RIA
CRD#: 170543
Naperville, IL
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 2244 Ferry Rd Unit 101, Naperville, IL 60563RIA
BD
CRD#: 6413
NAPERVILLE, IL
Past
September 8, 2009 - August 21, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
Naperville, IL
Past
September 30, 1999 - December 31, 2002
STERLING PORTFOLIO ALLOCATION SERVICE INC
RIA
CRD#: 110796
NAPERVILLE, IL
Past
February 17, 1998 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 10078
NAPERVILLE, IL
Past
January 28, 1998 - September 22, 2006
HERITAGE CAPITAL MANAGEMENT INC
RIA
CRD#: 110383
NAPERVILLE, IL
Past
March 24, 1992 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
NAPERVILLE, IL
Past
February 7, 1992 - March 2, 1992
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
Past
November 1, 1991 - February 10, 1992
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
Registered Investment Advisory firm - (10/1/2014 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(11/3/2014)
RR
California(2/24/2021)
RR
Florida(1/20/2010)
RR
Georgia(2/24/2021)
RR
Illinois(9/8/2009)
IAR
Illinois(5/9/2017)
RR
Indiana(7/12/2010)
RR
Maryland(2/24/2021)
RR
Michigan(3/26/2021)
RR
Minnesota(3/10/2021)
RR
Missouri(4/30/2021)
RR
Nevada(7/31/2017)
RR
New Jersey(3/17/2016)
RR
New York(2/27/2021)
RR
Oregon(3/16/2021)
RR
Tennessee(10/25/2017)
RR
Texas(2/24/2021)
RR
Virginia(2/25/2021)
RR
Washington(2/24/2021)
RR
Wisconsin(4/8/2021)
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
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
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Contact information
Main Address
200 Applebee St Suite 208, Barrington, IL 60010
Mailing Address
Phone number
(847) 310-5900
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,698 |
| AUM (Assets Under Management) | $ 514,331,206 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SEQUOIA WEALTH MANAGEMENT, LLC
CRD#: 170543Naperville, IL 60563TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
