LS
Lisa L. Smith
NINE30 ADVISORS LLC
Johns Creek, GA
Some features on this profile are disabled
CRD#: 2691076
LS
Professional summary
Lisa L Smith, who also goes by Lisa Younette Logan, Lisa Logan Smith, is a registered financial advisor currently at NINE30 ADVISORS LLC located in Johns Creek, Georgia and WEILD & CO. located in New York, New York.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Lisa has worked at 20 firms and has passed the Series 66, Series 63, Series 6TO, Series 82TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Younette Logan | Lisa Logan Smith
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) 09/2017; Touro University; Vallejo, CA; Employee; 10 hrs/month; teach online course to students on blockchain technology; Not Investment Related 2) 08/2018; Clayton State University; Morrow, GA; Independent contractor; 10-15 hrs/month; Serve as adjunct professor; Not Investment Related 3) Work through Sine Qua Non Global LLC, through which I support BDs and RIAs in compliance related maters, including serving as an officer for the firms. Those firms where I serve as an officer are listed above in the employment section. 4) 12/2013; Global Compliance & Health IT Solutions, LLC; Suwanee, GA; Partner; 20 hrs/month; Advise and collaborate on business structure and strategy, referrals for business development, mining production and operations, agricultural, federal grant programs, sustainability and film projects; teaching blockchain technical training to colleges and universities; Not Investment Related 5) 1/2024; Winston Salem University; Winston-Salem, NC; Independent Contractor; 20 hours/week; Teach Course as an Adjunct professor?; Not investment related. 6) 4/2024; Suwanee, GA; No Right Way; Executive Producer; 7 hours/week; Capital raise for film production. Investment related. 7) 5/2024; Weild & Co., Inc.; New York, NY; Independent Contractor; Approximately 15 hours/month; Primarily focused on the consulting, appraisal, valuation and placement of carbon offsets to both issuers of carbon credits and purchasers of carbon credits; Not investment related. 8) 6/2009; Insurance Licenses; Suwanee, GA; Independent contractor (License holder); 0 hours/week (just holding the licenses); Selling of life and health and annuities; Not investment related. 9) 11/06/2024; SQN-Global, Inc.; Delray Beach, FL; Employee; 40 hours/week; Outsourced Registered Principal/CCO Full-time General compliance consulting- Review of supervisory review of policies and procedures, transaction monitoring and review of advertising and sales material. (Dual registrations cited via Web CRD) Updated: Revolut Wealth, Revolut Securities, Axis Capital, Nine 30 (Advisory) and Market Securities LLC; Investment Related and as noted above. 10) Alpha Kappa Alpha Sorority, Inc. (Non-profit Member) 11) Jack and Jill of America, Inc. (Non-profit Member)
CRS (Client Relationship Summary) - RIA
Click below to view Lisa L Smith'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 16, 2025 - Present
NINE30 ADVISORS LLC
RIA
CRD#: 326596
Johns Creek, GA
Current
April 20, 2022 - Present
WEILD & CO.
Office #1: 230 Park Avenue 3rd And 4th Floors, New York, NY 10169BD
CRD#: 132398
New York, NY
Current
January 14, 2025 - Present
AXIS CAPITAL USA, LLC
BD
CRD#: 293368
Johns Creek, GA
Current
January 14, 2025 - Present
MARKET SECURITIES, LLC
Office #1: 75 Broad Street 7th Floor, New York, NY 10004BD
CRD#: 283701
NEW YORK, NY
Current
April 11, 2025 - Present
ATOMIC VAULTS SECURITIES, LLC
Office #1: 9736 Rennes Ln, Delray Beach, FL 33446BD
CRD#: 317194
Delray Beach, FL
Current
April 11, 2025 - Present
REPUBLIC PARTNERS, LLC
Office #1: 2000 North Racine Avenue, Suite 4700, Chicago, IL 60614-4045BD
CRD#: 281607
Chicago, IL
Current
April 11, 2025 - Present
CONSENSUS SECURITIES LLC
Office #1: 100 River Ridge Drive Suite 202, Norwood, MA 02062BD
CRD#: 144684
Norwood, MA
Current
April 29, 2025 - Present
NORTHBOUND SECURITIES LLC
Office #1: 9736 Rennes Lane, Delrey Beach, FL 33446BD
CRD#: 314549
DELREY BEACH, FL
Past
January 2, 2025 - May 30, 2025
REVOLUT SECURITIES INC.
BD
CRD#: 304600
NEW YORK, NY
Past
April 25, 2022 - April 12, 2024
BISON WEALTH, LLC
RIA
CRD#: 165931
ATLANTA, GA
Past
January 22, 2015 - March 3, 2022
KALOS MANAGEMENT
RIA
CRD#: 133025
ALPHARETTA, GA
Past
December 15, 2014 - March 3, 2022
KALOS CAPITAL, INC.
BD
CRD#: 44337
ALPHARETTA, GA
Past
January 31, 2013 - December 12, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NORCROSS, GA
Past
January 31, 2013 - December 12, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NORCROSS, GA
Past
October 14, 2011 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ALPHARETTA, GA
Past
October 12, 2011 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ALPHARETTA, GA
Past
February 9, 2011 - August 19, 2011
MORGAN STANLEY
RIA
CRD#: 149777
ALPHARETTA, GA
Past
December 20, 2010 - August 19, 2011
MORGAN STANLEY
BD
CRD#: 149777
ALPHARETTA, GA
Past
October 20, 2009 - December 1, 2010
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
July 26, 2006 - March 31, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
June 13, 2000 - June 19, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 29, 1999 - May 19, 2000
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
BD
CRD#: 40596
HARTFORD, CT
Past
June 4, 1997 - June 6, 1998
GE INVESTMENT DISTRIBUTORS, INC
BD
CRD#: 32087
STAMFORD, CT
Past
February 12, 1996 - July 24, 1997
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
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".
NA
NINE30 ADVISORS LLC
NINE30 ADVISORS LLC
CRD#: 326596 / SEC#: 801-128888
RIA
Registered Investment Advisory firm - (3/22/2024 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
California(4/17/2025)
RR
Colorado(4/20/2022)
RR
Florida(4/29/2025)
RR
Georgia(4/20/2022)
IAR
Georgia(9/16/2025)
RR
Massachusetts(6/2/2025)
IAR
New York(10/31/2025)
RR
South Dakota(10/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
FINRA
Current Firm
NA
NINE30 ADVISORS LLC
NINE30 ADVISORS LLC
CRD#: 326596 / SEC#: 801-128888
RIA
Registered Investment Advisory firm - (3/22/2024 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Ny, NY
Mailing Address
Phone number
(650) 391-4391
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110 |
| AUM (Assets Under Management) | $ 189,507 |
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.
