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LG

Lisa R. Gatzke

LEO BROKERAGE
Rockwall, TX 75087
Some features on this profile are disabled
CRD#: 2657481
LG

Professional summary

Lisa Renae Gatzke, who also goes by Lisa Renae Floyd, Lisa Floyd, Lisa Renae Yates, is a registered financial professional currently at LEO BROKERAGE, LLC located in Rockwall, Texas.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2001. Lisa has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Renae Floyd | Lisa Floyd | Lisa Renae Yates

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) - BD

Click below to view Lisa Renae Gatzke'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

July 14, 2020 - Present

LEO BROKERAGE, LLC

Office #1: 301 No. Goliad, Rockwall, TX 75087
BD
CRD#: 109121
Rockwall, TX
Past

November 19, 2015 - December 31, 2018

G.F. INVESTMENT SERVICES, LLC

BD
CRD#: 132939
Fort Worth, TX
Past

September 18, 2006 - September 4, 2014

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
DALLAS, TX
Past

October 16, 2001 - September 5, 2006

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Oklahoma
(7/14/2020)
RR
Texas
(7/14/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LB
LEO BROKERAGE, LLC
ADVANCED FINANCIAL SERVICES | WILSON WEALTH MANAGEMENT | SENIOR FINANCIAL SERVICES | ROCKWALL WEALTH MANAGEMENT | MIKE MILLS WEALTH MANAGEMENT | MEDINA INVESTMENTS | LEO BROKERAGE, LLC | KMR FINANCIAL GROUP | KMR FINANCIAL | INVESTMENT AND ASSET PLANNING | HUTTO RETIREMENT ADVISORS, LLC | DARYL CURTIS WEALTHBUILDERS | CORPORATE PENSIONS COMPANY | CORPORATE PENSIONS | BUTLER FREEMAN TALLY FINANCIAL GROUP, LLC | BUTLER FREEMAN TALLY FINANCIAL GROUP | BFT FINANCIAL GROUP, LLC

CRD#: 109121 / SEC#: 801-57022, 8-53487

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
860 Airport Freeway, Suite 402, Hurst, TX 76054
Mailing Address
860 Airport Freeway, Suite 402, Hurst, TX 76054
Phone number
(817) 354-1090
Established
Texas since 01/01/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BFT FINANCIAL WRAP ACCOUNT BROCHURE (8/12/2021)
BFT FINANCIAL GROUP ADV PART 2A (8/12/2021)

Direct owners and executive officers

NamePositionCRD#
LEO CAPITAL CORP.OWNER
GOODIN, DIANE MARIEFINOP3117840
TALLY, STEPHEN DALLASCHIEF COMPLIANCE OFFICER3223264

Disclosures

Regulatory Event2

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.

Company Information

LEO BROKERAGE, LLC

CRD#: 109121Rockwall, TX 75087

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