Lisa J. Hadrick

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CRD#: 2306381

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 Jane Hadrick, who also goes by Lisa Goodness, Lisa J Hadrick, was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 1993. Lisa had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lisa Goodness | Lisa J Hadrick

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

November 27, 2018 - December 10, 2019

KASTEL CAPITAL ADVISORS, LLC

RIA

CRD#: 226520

WELLESLEY, MA

Past

December 13, 2013 - March 30, 2016

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

December 9, 2013 - March 30, 2016

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

BOSTON, MA

Past

January 3, 2007 - January 3, 2012

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

BOSTON, MA

Past

June 26, 2006 - January 3, 2012

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

September 26, 2005 - June 23, 2006

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

BOSTON, MA

Past

November 29, 2001 - January 1, 2002

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

September 22, 1997 - May 20, 2004

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

May 25, 1994 - September 15, 1997

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

February 18, 1993 - May 31, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

February 18, 1993 - May 31, 1994

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

KASTEL CAPITAL ADVISORS, LLC

KASTEL CAPITAL ADVISORS, LLC | PENSION & WEALTH MANAGEMENT ADVISORS

CRD#: 226520 / SEC#: 801-117355

RIA

Registered Investment Advisory firm - (9/24/2019 Approved)

Louisiana

Registered Investment Advisory firm - (10/16/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/20/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/16/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 66

Date: 7/24/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/9/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/6/1995

General Securities Principal Examination

Current Firm

KASTEL CAPITAL ADVISORS, LLC

KASTEL CAPITAL ADVISORS, LLC | PENSION & WEALTH MANAGEMENT ADVISORS

CRD#: 226520 / SEC#: 801-117355

RIA

Registered Investment Advisory firm - (9/24/2019 Approved)

Louisiana

Registered Investment Advisory firm - (10/16/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/20/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/16/2019 Terminated)

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Contact information

Main Address

40 Grove Street Suite 190, Wellesley, MA 02482

Mailing Address

Phone number

(888) 622-2285

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-KASTEL CAPITAL ADVISORS, LLC (11/4/2025)

Regulatory assets under management

Total Number of Accounts	245
AUM (Assets Under Management)	$ 164,571,865

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 J. Hadrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

SIGNATOR INVESTORS, INC.

COMMONWEALTH FINANCIAL NETWORK

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

KASTEL CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/24/2006

Series 65

Date: 12/9/1997

Series 63

Date: 3/2/1993

SIE

Date: 3/30/2016

Series 7

Date: 2/16/1993

Series 24

Date: 12/6/1995

Current Firm

KASTEL CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KASTEL CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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