LP
Lisa A. Pugel
CETERA INVESTMENT ADVISERS LLC
BELLVILLE, TX 77418
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CRD#: 2506156
LP
Professional summary
Lisa Aileen Pugel, who also goes by Lisa A Klatt, Lisa Aileen Klatt, Lisa Aileen Winski, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bellville, Texas and CETERA WEALTH SERVICES, LLC located in South Milwaukee, Wisconsin.
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 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa A Klatt | Lisa Aileen Klatt | Lisa Aileen Winski
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) LAM GROUP; Partner; Family partnership for real estate purchases INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2021; 8204 W Stone Creek Drive, Caledonia WI 53108, Analyzing and buying properties for rental purposes. 2) WEHRING & DB TAX AND WEALTH LLC; Member Manager: Organization formed to handle payroll, benefits, and other common business expenses of Wehring Wealth Management and DB Tax & Wealth. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 11/10/2021; 105 South Mathews, PO Box 26, Bellville TX 77418, Business management, accounting and recording keeping for this entity, research and development, and administrative duties. 3) HALL WEHRING CPAS; Secretary: Tax & Accounting Services INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 20 START DATE: 06/30/2022 ADDRESS: 1125 Milwaukee Avenue, South Milwaukee WI 53172, Tax preparation and consulting with business owners. 4) DBHW WEALTH PARTNERS; Partner: This is a branding name that represents some businesses within our organization currently disclosed on my U4. The businesses falling under this brand are currently Hall Wehring CPAs and Wehring & DB Tax and Wealth. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2022; 1125 Milwaukee Avenue, South Milwaukee WI 53172,' Strictly a DBA we use for branding and marketing. No daily duties and responsibilities associated with this DBA. This DBA will appear on our email, social media, website, signage, and other marketing. 5) DB WEHRING WEALTH LLC POSITION: Managing Member NATURE: Financial planning and investment services INVESTMENT RELATED: No NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 110 START DATE: 01/01/2023 ADDRESS: 1125 Milwaukee Avenue, South Milwaukee WI 53172, United States DESCRIPTION: Practice management, financial planning, investment advisory services, and insurance planning 6)510 HICKORY VENTURES LLC POSITION: Managing Member NATURE: Rental real estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/24/2024 ADDRESS: PO Box 26, Bellvilee TX 77418, United States DESCRIPTION: Analyzing and buying properties for rental purposes 7) LJM GROUP LLC POSITION: Partner NATURE: Family Partnership for real estate purchases INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2024 ADDRESS: 8204 W Stone Creek Circle, Caledonia WI 53108, United States DESCRIPTION: Analyzing and buying properties for rental purposes 9) Legup Investments LLC (1); Partner; Real estate holding company; IR; 4; 01/31/2020; PO Box 160 South Milwaukee WI 53172; Business development
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Aileen Pugel'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 105 S Mathews St, Bellville, TX 77418RIA
CRD#: 105644
BELLVILLE, TX
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1125 Milwaukee Avenue, South Milwaukee, WI 53172Office #2: 105 S Mathews St, Bellville, TX 77418BD
CRD#: 13572
South Milwaukee, WI
Past
August 8, 2012 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Caledonia, WI
Past
February 3, 1995 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
South Milwaukee, WI
Past
December 5, 1994 - February 6, 1995
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/19/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Kansas(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Louisiana(9/19/2025)
RR
Michigan(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Mississippi(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Jersey(9/22/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/19/2025)
RR
Ohio(9/5/2025)
RR
South Carolina(9/22/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/29/2025)
RR
Wisconsin(9/5/2025)
IAR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Bellville, TX 77418TRUST BUT VERIFY
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