Lisa L. Anderson
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 Lynn Anderson, who also goes by Lisa L Anderson, Lisa Lynn Anderson, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1992. Lisa had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2024 - November 1, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
October 14, 2024 - November 1, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
December 17, 2021 - October 27, 2022
CUSO FINANCIAL SERVICES, L.P.
December 8, 2021 - October 27, 2022
CUSO FINANCIAL SERVICES, L.P.
October 27, 2016 - September 28, 2021
CITIZENS SECURITIES, INC.
December 1, 2005 - September 28, 2021
CITIZENS SECURITIES, INC.
September 7, 2000 - December 1, 2005
CHARTER ONE SECURITIES, INC.
July 20, 2000 - August 4, 2000
SECO WEST LIMITED
August 4, 1997 - December 17, 1998
WOLFF INVESTMENT GROUP INCORPORATED
March 12, 1997 - June 19, 1997
SHAMUS GROUP, INC.
February 4, 1994 - March 3, 1997
AMERICORP SECURITIES, INC.
March 30, 1993 - January 5, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
July 16, 1992 - December 24, 1992
H.J. MEYERS & CO., INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
