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LS

Lisa A. Schneider

Some features on this profile are disabled
CRD#: 2870984
LS

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 Anne Schneider was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 1997. Lisa had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 11, 2009 - October 1, 2012

STRATEGIC WEALTH ADVISORS GROUP

RIA
CRD#: 140977
SAN FRANSISCO, CA
Past

September 8, 2009 - December 18, 2009

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN FRANCISCO, CA
Past

September 8, 2009 - October 22, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN FRANCISCO, CA
Past

March 31, 2009 - September 8, 2009

ASSOCIATED SECURITIES CORP.

RIA
CRD#: 12969
SAN FRANCISCO, CA
Past

March 31, 2009 - September 8, 2009

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
SAN FRANCISCO, CA
Past

October 31, 2005 - April 1, 2009

OSAIC SERVICES, INC.

BD
CRD#: 133763
SAN FRANCISCO, CA
Past

August 26, 1997 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

May 20, 1997 - August 20, 1997

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/13/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/19/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SW
STRATEGIC WEALTH ADVISORS GROUP
AFFINITY WEALTH PLANNING | WESTLAKE FINANCIAL MANAGEMENT | WESTERN WEALTH MANAGEMENT | WEALTH PLANNING GROUP | VIREN AND ASSOCIATES | TURNING LEAF FINANCIAL GROUP | THE STEPHENSON COMPANY | THE FINANCIAL SERVICES NETWORK | STRATEGIC WEALTH ADVISORS GROUP, INC. | STRATEGIC WEALTH ADVISORS GROUP | STADJUHAR WEALTH STRATEGISTS | SONOMA COUNTY WEALTH ADVISORS | SMITH & KOBRIN | SLANKSTER FINANCIAL | SELECT WEALTH ADVISORS | SCHNEIDER FINANCIAL ADVISORS | ROCCO & ASSOCIATES WEALTH MANAGEMENT | RG FINANCIAL PARTNERS | RETIREMENT WEALTH ADVISORS, INC. | RENAISSANCE WEALTH MANAGEMENT GROUP, LLC | RENAISSANCE WEALTH MANAGEMENT | RAU FINANCIAL STRATEGIES | RAHN WEALTH MANAGEMENT | PURPOSE FINANCIAL ADVISORS | NURTURED WEALTH | NEW SPRING FINANCIAL PLANNING | MULTIGEN WEALTH SERVICES | MILLS WEALTH MANAGEMENT GROUP | MERCER PUTNEY FINANCIAL ADVISORS | MARSHALL WEALTH MANAGEMENT GROUP | LIGHTHOUSE STRATEGIC ADVISORS | LEGACY PLANNERS | KUTSURELIS AND MILLER | KUHLMANN ASSOCIATES FINANCIAL | KUBIN FINANCIAL SERVICES | KLEIN INVESTMENT STRATEGIES | JBT FINANCIAL | INTEGRITY FINANCIAL SERVICES | INTEGRITY CAPITAL WEALTH MANAGEMENT, LLC | GRP WEALTH STRATEGIES GROUP | GROOMS WEALTH MANAGEMENT, LLC | GOOD HARBOR FINANCIAL | GIORDANO WEALTH MANAGEMENT GROUP, LLC | FRANK DEPTOLA AND ASSOCIATES | FORONJY FINANCIAL | FISKE FINANCIAL STRATEGIES | FINANCIAL PLANNING ADVISORY SERVICES | EQUITY DEVELOPMENT | DYNAMIC CAPITAL MANAGEMENT | DFG WEALTH ADVISORS | DALE Q. RICE INVESTMENT MANAGEMENT | COMMON SENSONOMICS WEALTH MANAGEMENT | COLORADO WEST INVESTMENTS INC. | CLARK BENEFITS | CLARITY FINANCIAL PLANNING AND CLARITY WEALTH MANAGEMENT | CENTER FOR FINANCIAL MANAGEMENT | CAMINO ADVISORS | BROWN FINANCIAL SERVICES, GROUP | BIG TREES WEALTH MANAGEMENT | BELLWETHER FINANCIAL SERVICES | AQUARIS WEALTH MANAGEMENT, LLC | ANACORTES FINANCIAL ASSOCIATES | AMERICAN FINANCIAL ADVISORS | AMA WEALTH MANAGEMENT

CRD#: 140977 / SEC#: 801-67001

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Contact information

Main Address
411 Borel Avenue, Suite 620, San Mateo, CA 94402
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

STRATEGIC WEALTH ADVISORS GROUP, INC. ADVISORY SERVICES BROCHURE (8/31/2015)

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

STRATEGIC WEALTH ADVISORS GROUP

CRD#: 140977

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