Lisa A. Walker

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CRD#: 2279913

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 Ann Walker, who also goes by Lisa A Cote, 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 7, Series 8, Series 4, Series 24 and Series 14 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lisa A Cote

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 13, 2015 - October 8, 2021

OXFORD FINANCIAL GROUP, LTD

RIA

CRD#: 105303

CARMEL, IN

Past

February 24, 2005 - March 1, 2013

COMERICA SECURITIES

RIA

CRD#: 17079

BLOOMFIELD HILLS, MI

Past

February 24, 2005 - March 1, 2013

COMERICA SECURITIES

CRD#: 17079

BLOOMFIELD HILLS, MI

Past

June 13, 2000 - February 15, 2005

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

February 7, 1997 - June 20, 2000

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

September 23, 1992 - January 20, 1997

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

CRD#: 17529

FARMINGTON HILLS, MI

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".

OXFORD FINANCIAL GROUP, LTD

CRD#: 105303 / SEC#: 801-20692

RIA

Registered Investment Advisory firm - (2/7/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/27/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/21/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 12/9/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 9/15/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/30/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 3/25/1990

Compliance Officer Examination

Current Firm

OXFORD FINANCIAL GROUP, LTD

CRD#: 105303 / SEC#: 801-20692

RIA

Registered Investment Advisory firm - (2/7/1984 Approved)

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Contact information

Main Address

11711 North Meridian Street Suite 600, Carmel, IN 46032

Mailing Address

P. O. Box 80238, Indianapolis, IN 46280-0238

Phone number

(317) 843-5678

Established

Firm type

Fiscal year end

# of Employees

154

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OXFORD FINANCIAL GROUP LTD. FORM ADV PART 2A JUNE 2025 (6/25/2025)

Regulatory assets under management

Total Number of Accounts	6,467
AUM (Assets Under Management)	$ 19,650,381,670

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/16/2025	Cover Page	Report
03/28/2025	Cover Page	Report
03/15/2024	Cover Page	Report
03/24/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Lisa A. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMERICA SECURITIES

COMERICA SECURITIES

AMERIPRISE ADVISOR SERVICES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

OXFORD FINANCIAL GROUP, LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/1998

Series 63

Date: 10/21/1992

Series 7

Date: 9/21/1992

Series 8

Date: 12/9/1997

Series 4

Date: 9/15/1997

Series 24

Date: 5/30/1995

Series 14

Date: 3/25/1990

Current Firm

OXFORD FINANCIAL GROUP, LTD

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OXFORD FINANCIAL GROUP, LTD

TRUST BUT VERIFY

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