Lisa J. Nelson

CETERA INVESTMENT ADVISERS LLC

BOCA RATON, FL 33431

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CRD#: 2295471

Professional summary

Lisa Jane Nelson, who also goes by Lisa Gillispie, Lisa Jane Hunt, Lisa Jane Smith, Lisa Jane Wood, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boca Raton, Florida and CETERA ADVISORS LLC located in Raleigh, North Carolina.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Lisa has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Gillispie | Lisa Jane Hunt | Lisa Jane Smith | Lisa Jane Wood

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. NAME OF OTHER BUSINESS: DBA NELSON WEALTH ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 11/2006; POSITION/TITLE/RELATIONSHIP: BRANCH OPERATIONS MANAGER; APX NUMBER OF HOURS PER WEEK: 40 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 HOURS; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES BUSINESS; 2. NAME OF OTHER BUSINESS: THE "I MARCH ON" FOUNDATION, INC, INVESTMENT RELATED: NO, ADDRESS: 265 PRIMROSE LANE, WINTERVILLE, NC 28590, NATURE OF BUSINESS: FOUNDATION, START DATE: 03/2025, POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: APPROVING OR DENYING THE REQUESTS OF THE OFFICERS, IN ORDER TO FACILITATE AND RUN THE DAILY ACTIVITIES OF THE MISSION & PURPOSE OF THE FOUNDATION;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Jane Nelson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 23, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2871 North Ocean Blvd Unit C423, Boca Raton, FL 33431Office #2: 9121 Anson Way Suite 204, Raleigh, NC 27615

RIA

CRD#: 105644

BOCA RATON, FL

Current

October 3, 2016 - Present

CETERA ADVISORS LLC

Office #1: 9121 Anson Way Suite 231, Raleigh, NC 27615Office #2: 433 Plaza Real, Suite 275-38, Boca Raton, FL 33432

CRD#: 10299

RALEIGH, NC

Past

October 3, 2016 - March 21, 2024

CETERA ADVISORS LLC

CRD#: 431

CHARLOTTE, NC

Past

March 2, 1995 - February 4, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

November 29, 1994 - January 6, 1995

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

Florida
(1/3/2024)

IAR

Florida
(2/23/2024)

North Carolina
(10/3/2016)

IAR

North Carolina
(3/21/2024)

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

State Security Law Exam

IAR

Series 65

Date: 7/6/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/19/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Lisa J. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Jane Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

STONEX SECURITIES INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WACHOVIA SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2007

Series 63

Date: 12/19/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/28/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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