Lisa G. Terk

US CAPITAL GLOBAL WEALTH MANAGEMENT

San Francisco, CA 94111

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CRD#: 2772487

Professional summary

Lisa Grace Terk, who also goes by Lisa G Terk, Lisa Grace Terk, is a registered financial advisor currently at US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC located in San Francisco, California and US CAPITAL GLOBAL SECURITIES, LLC located in San Francisco, California.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Lisa has worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa G Terk | Lisa Grace Terk

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.

Starting 02/2022 Lisa Terk will be registered as an Investment Advisor with US Capital's Affiliate US Capital Global Wealth Management. Duties include investment advisory services. US Capital Global Wealth Management is located in San Francisco CA. Insperity. HR Benefits Start date 9-1-23 Business consultant and referrals. Not Investment Related. No conflicts of interest. The estimated time spent on this endeavor is 1 to 2 hours a month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Grace Terk'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®

None

Experience

Current

February 28, 2022 - Present

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

Office #1: 1 Ferry Building Suite 201, San Francisco, CA 94111

RIA

CRD#: 299885

San Francisco, CA

Current

July 7, 2020 - Present

US CAPITAL GLOBAL SECURITIES, LLC

Office #1: 1 Ferry Building Suite 201, San Francisco, CA 94111

CRD#: 169544

San Francisco, CA

Past

October 24, 2017 - February 28, 2020

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SAN FRANCISCO, CA

Past

October 24, 2017 - February 28, 2020

OPPENHEIMER & CO. INC.

CRD#: 249

SAN FRANCISCO, CA

Past

October 28, 2014 - September 15, 2016

WHITEHALL-PARKER SECURITIES, INC.

CRD#: 10608

SAN RAFAEL, CA

Past

September 29, 2014 - September 15, 2016

WHITEHALL-PARKER SECURITIES, INC.

RIA

CRD#: 10608

SAN RAFAEL, CA

Past

December 13, 2010 - November 12, 2012

ARDOUR CAPITAL INVESTMENTS, LLC

CRD#: 120574

LONG BEACH, NY

Past

February 12, 2010 - September 3, 2010

CENTURY PACIFIC SECURITIES, INC.

CRD#: 113698

BELLEVUE, WA

Past

May 21, 2009 - September 10, 2009

U.S. FINANCIAL INVESTMENTS, INC.

CRD#: 120804

NEW YORK, NY

Past

November 7, 2006 - June 15, 2007

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SAN FRANCISCO, CA

Past

November 7, 2006 - June 15, 2007

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SAN FRANCISCO, CA

Past

December 10, 2003 - June 1, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN FRANCISC, CA

Past

July 4, 2003 - June 1, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 6, 2002 - October 16, 2002

REDWOOD SECURITIES GROUP, INC.

CRD#: 27536

SAN FRANCISCO, CA

Past

February 5, 2001 - July 5, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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

California
(7/7/2020)

IAR

California
(2/28/2022)

Connecticut
(10/13/2021)

Florida
(7/25/2023)

Louisiana
(5/16/2022)

Wisconsin
(6/1/2021)

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

IAR

Series 65

Date: 10/2/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/2/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/1/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/2/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

US CAPITAL GLOBAL WEALTH MANAGEMENT LLC | US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

CRD#: 299885 / SEC#:

California

Registered Investment Advisory firm - (3/27/2019 Approved)

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Contact information

Main Address

1 Ferry Building Suite 201, San Francisco, CA 94111

Mailing Address

Phone number

(917) 923-9649

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 19,000,000

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 G. Terk

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Grace Terk's CRS (Customer Relationship Summary).

Certified licenses

Experience

US CAPITAL GLOBAL SECURITIES, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

WHITEHALL-PARKER SECURITIES, INC.

WHITEHALL-PARKER SECURITIES, INC.

ARDOUR CAPITAL INVESTMENTS, LLC

CENTURY PACIFIC SECURITIES, INC.

U.S. FINANCIAL INVESTMENTS, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

REDWOOD SECURITIES GROUP, INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2003

Series 63

Date: 4/2/2001

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 11/1/2003

Series 7

Date: 2/2/2001

FINRA

Current Firm

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

US CAPITAL GLOBAL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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