LC
Lisa A. Cottrell
TRANSAMERICA FINANCIAL ADVISORS | Financial Professional
Jacksonville, FL 32216
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CRD#: 2795208
LC
Professional summary
Lisa Ann Cottrell, who also goes by Lisa A Cottrell, Lisa Mccarthy, Lisa Ann Mccarthy, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Jacksonville, Florida.
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 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa A Cottrell | Lisa Mccarthy | Lisa Ann Mccarthy
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc TRANSAMERICA AGENCY NETWORK/Investment Related - Yes/100 Light Street Floor B1 Baltimore, MD 2102 410-685-2900/Insurance/Affilliate Representative/12.2022/10/5/Selling and servicing Insurance UNITED FINANCIAL SERVICES/Investment Related - No/100 Light Street Floor B1Baltimore, MD 21202 410-685-2900/Insurance/Affiliate Representative/12.2022/10/5/Selling and servicing insurance
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Ann Cottrell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Ann Cottrell'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
January 11, 2023 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 7077 Bonneval Rd Suite 570, Jacksonville, FL 32216RIA
BD
CRD#: 16164
Jacksonville, FL
Current
January 10, 2023 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 7077 Bonneval Rd Suite 570, Jacksonville, FL 32216RIA
BD
CRD#: 16164
Jacksonville, FL
Past
July 13, 2004 - April 6, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PALM COAST, FL
Past
October 1, 2000 - April 6, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PALM COAST, FL
Past
October 21, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
Florida(1/10/2023)
IAR
Florida(1/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Financial ProfessionalCRD#: 16164Jacksonville, FL 32216TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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