Lisa P Zarkin
CFP®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,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Estate Planning
- Insurance Planning
- Tax Planning
- Comprehensive Financial Planning
- Retirement Planning
- Investment Planning
- Employee and Employer Plan Benefits
Other Aliases
Lisa P Ballotti, Lisa Pauline Ballotti, Lisa Ballotti, Lisa P Carava
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
200 Applebee St Suite 208, Barrington, IL 60010Phone Number
(847) 310-5900# of Employees
16SEC notice filing (24 States and Territories)
Registered to provide investment advisory services in 24 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,892AUM (Assets Under Management)
$599,623,650Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(11/3/2014)
(2/24/2021)
(1/20/2010)
(2/24/2021)
(9/8/2009)
(5/9/2017)
(7/12/2010)
(2/24/2021)
(3/26/2021)
(3/10/2021)
(4/30/2021)
(7/31/2017)
(3/17/2016)
(2/27/2021)
(3/16/2021)
(10/25/2017)
(2/24/2021)
(2/25/2021)
(2/24/2021)
(4/8/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1991About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Lisa P Zarkin's CRS (Customer Relationship Summary).
Services Offered by Lisa
- Estate Planning
- Insurance Planning
- Tax Planning
- Comprehensive Financial Planning
- Retirement Planning
- Investment Planning
- Employee and Employer Plan Benefits
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