Lisa M. Wiseman

KEEL POINT

Huntsville, AL 35801

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CRD#: 2654948

Professional summary

Lisa Marie Wiseman, who also goes by Lisa M Wiseman, is a registered financial advisor currently at KEEL POINT, LLC located in Huntsville, Alabama and KEEL POINT CAPITAL, LLC located in Huntsville, Alabama.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lisa has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa M Wiseman

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) - RIA

Click below to view Lisa Marie Wiseman'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

May 1, 2015 - Present

KEEL POINT, LLC

Office #1: 100 Church Street Suite 500, Huntsville, AL 35801

RIA

CRD#: 127902

Huntsville, AL

Current

May 1, 2015 - Present

KEEL POINT CAPITAL, LLC

Office #1: 100 Church Street Suite 500, Huntsville, AL 35801

CRD#: 6769

Huntsville, AL

Past

April 11, 2022 - December 31, 2023

KEEL POINT PERSONAL MONEY MANAGEMENT, LLC

RIA

CRD#: 316478

HUNTSVILLE, AL

Past

June 1, 2009 - May 13, 2015

MORGAN STANLEY

RIA

CRD#: 149777

HUNTSVILLE, AL

Past

June 1, 2009 - May 13, 2015

MORGAN STANLEY

CRD#: 149777

HUNTSVILLE, AL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HUNTSVILLE, AL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

HUNTSVILLE, AL

Past

April 15, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HUNTSVILLE, AL

Past

April 15, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

HUNTSVILLE, AL

Past

February 9, 2000 - April 20, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HUNTSVILLE, AL

Past

June 24, 1998 - April 20, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

KEEL POINT, LLC

BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC

CRD#: 127902 / SEC#: 801-62249

RIA

Registered Investment Advisory firm - (8/1/2003 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

IAR

Alabama
(5/1/2015)

Alabama
(5/26/2015)

Florida
(5/26/2015)

Georgia
(5/26/2015)

Indiana
(5/14/2019)

Louisiana
(8/11/2017)

Maryland
(5/4/2015)

North Carolina
(4/15/2016)

Tennessee
(5/27/2015)

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

Series 63

Date: 9/13/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/13/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KEEL POINT, LLC

BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC

CRD#: 127902 / SEC#: 801-62249

RIA

Registered Investment Advisory firm - (8/1/2003 Approved)

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Contact information

Main Address

100 Church Street Suite 500, Huntsville, AL 35801

Mailing Address

Phone number

(256) 704-5111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEEL POINT ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (5/29/2025)

KEEL POINT BROCHURE FORM ADV 2A (5/29/2025)

Regulatory assets under management

Total Number of Accounts	5,626
AUM (Assets Under Management)	$ 3,464,607,203

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/30/2025	Cover Page	Report
01/26/2024	Cover Page	Report
10/25/2022	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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Advisor Monitoring

Firm Stability Insights

Lisa M. Wiseman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Marie Wiseman's CRS (Customer Relationship Summary).

Certified licenses

Experience

KEEL POINT CAPITAL, LLC

KEEL POINT PERSONAL MONEY MANAGEMENT, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

KEEL POINT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/13/1999

Series 65

Date: 11/13/1998

SIE

Date: 10/1/2018

Series 7

Date: 11/20/1995

FINRA

Current Firm

KEEL POINT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KEEL POINT, LLC

TRUST BUT VERIFY

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