Lisa L. Evenhouse
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lisa Lynn Evenhouse, who also goes by Lisa Lynn Di Alberto, Lisa Lynn Dialberto, Lisa Dialberto, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1996. Lisa had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - April 16, 2015
CETERA INVESTMENT ADVISERS LLC
December 11, 2013 - January 29, 2014
CETERA INVESTMENT SERVICES LLC
December 11, 2013 - June 6, 2016
CETERA INVESTMENT SERVICES LLC
January 3, 2011 - November 29, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - November 29, 2013
WELLS FARGO CLEARING SERVICES, LLC
September 11, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 11, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 6, 2008 - September 11, 2009
COLONIAL ASSET MANAGEMENT INC
October 30, 2008 - September 11, 2009
COLONIAL BROKERAGE, INC.
March 26, 2008 - October 20, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 20, 2008 - October 20, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 21, 2005 - January 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2005 - January 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 11, 2003 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
July 9, 2002 - July 7, 2003
ESSEX NATIONAL SECURITIES, LLC
June 24, 1997 - March 14, 2002
HSBC BROKERAGE (USA) INC.
June 3, 1996 - January 4, 1997
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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
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.
