LG
Lisa J. Gerardi
NATIONAL WEALTH MANAGEMENT GROUP
Cincinnati, OH 45246-0002
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CRD#: 2358924
LG
Professional summary
Lisa J Gerardi is a registered financial advisor currently at NATIONAL WEALTH MANAGEMENT GROUP, LLC located in Cincinnati, Ohio and LPL FINANCIAL LLC located in Cincinnati, Ohio.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Lisa has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. 12/10/2009: Gerardi Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
2. 3/28/2016: National Wealth Management Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 03/10/2016 - 100 Hours Per Month During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa J Gerardi's 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®
NoneExperience
Current
January 5, 2022 - Present
NATIONAL WEALTH MANAGEMENT GROUP, LLC
Office #1: 11260 Chester Road Suite 250, Cincinnati, OH 45246-0002RIA
CRD#: 174883
Cincinnati, OH
Current
November 20, 2009 - Present
LPL FINANCIAL LLC
Office #1: 11260 Chester Rd Ste 250, Cincinnati, OH 45246RIA
BD
CRD#: 6413
Cincinnati, OH
Past
March 23, 2016 - December 31, 2021
NATIONAL WEALTH MANAGEMENT GROUP, LLC
RIA
CRD#: 174883
CINCINNATI, OH
Past
November 23, 2009 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
HARRINGTON, DE
Past
October 5, 2009 - November 23, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BLUE ASH, OH
Past
October 5, 2009 - November 23, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BLUE ASH, OH
Past
January 10, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
BLUE ASH, OH
Past
January 4, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
BLUE ASH, OH
Past
March 21, 2001 - January 4, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CINCINNATI, OH
Past
June 23, 1993 - January 4, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC
CRD#: 174883 / SEC#: 801-80983
RIA
Registered Investment Advisory firm - (2/19/2015 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.RR
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
RR
Alabama(11/20/2009)
RR
Arizona(1/13/2021)
RR
California(1/17/2018)
RR
Delaware(11/20/2009)
IAR
Delaware(1/5/2022)
RR
Florida(8/5/2016)
RR
Georgia(3/7/2025)
RR
Indiana(9/8/2015)
RR
Kentucky(11/20/2009)
RR
Maryland(2/7/2024)
RR
Massachusetts(6/25/2022)
RR
Michigan(9/8/2015)
RR
Minnesota(1/2/2021)
RR
Missouri(7/5/2011)
RR
Nebraska(11/20/2009)
RR
North Carolina(12/1/2016)
RR
Ohio(11/20/2009)
IAR
Ohio(1/7/2022)
RR
Oregon(4/4/2023)
RR
South Dakota(4/14/2025)
IAR
Texas(1/5/2022)
RR
Wisconsin(10/17/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NW
NATIONAL WEALTH MANAGEMENT GROUP, LLC
ALPINA FINANCIAL CONSULTANTS | NATIONAL WEALTH MANAGEMENT GROUP, LLC | NATIONAL WEALTH MANAGEMENT GROUP | MODEL WEALTH GROUP, LLC | INFINITE WEALTH PLANNING | GERARDI WEALTH MANAGEMENT, LLC | ALPINA FINANCIAL CONSULTANTS, LLC
CRD#: 174883 / SEC#: 801-80983
RIA
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Contact information
Main Address
11260 Chester Road Suite 250, Cincinnati, OH 45246-0002
Mailing Address
Phone number
(513) 772-2592
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,066 |
| AUM (Assets Under Management) | $ 325,727,820 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NATIONAL WEALTH MANAGEMENT GROUP, LLC
CRD#: 174883Cincinnati, OH 45246-0002TRUST BUT VERIFY
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