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LS

Lisa L. Stopfer

Some features on this profile are disabled
CRD#: 2896446
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 Lynn Stopfer was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 1997. Lisa had worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

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

January 16, 2014 - November 15, 2021

CRI SECURITIES, LLC

RIA
CRD#: 22589
ST PAUL, MN
Past

January 16, 2014 - August 11, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
ST PAUL, MN
Past

June 29, 1998 - December 16, 2021

CRI SECURITIES, LLC

BD
CRD#: 22589
ST PAUL, MN
Past

June 25, 1997 - July 1, 2025

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST PAUL, MN

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
RR
IAR
Series 66
Date: 1/27/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/14/1997
General Securities Principal Examination

Current Firm

CS
CRI SECURITIES, LLC
C.R.I. SECURITIES, INC. | CRI SECURITIES, LLC | C.R.I. SECURITIES, LLC

CRD#: 22589 / SEC#: 801-62434, 8-39877

BD
Terminated by SEC on 01/14/2022
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Contact information

Main Address
400 Robert Street North, St.paul, MN 55101
Mailing Address
Phone number
Established
Minnesota since 12/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CARPENTER, KIMBERLY KAYSENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER & ANTI-MONEY LAUNDERING COMPLIANCE OFFICER4266541
FERGUSON, KRISTIN MARYVICE PRESIDENT, TREASURER, CHIEF FINANCIAL OFFICER & FINOP6895121

Disclosures

Regulatory Event1

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

CRI SECURITIES, LLC

CRD#: 22589

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