Lisamarie Lozon

PINAFORE WEALTH COUNSEL

Palm Beach Gardens, FL 33410

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CRD#: 2915086

Professional summary

Lisamarie Lozon, who also goes by Lisa Marie Nelson, Lisamarie Nelson, Lisa Marie Smith, Lisamarie Smith, is a registered financial advisor currently at PINAFORE WEALTH COUNSEL INC. located in Palm Beach Gardens, Florida.

Lisamarie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Lisamarie has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Marie Nelson | Lisamarie Nelson | Lisa Marie Smith | Lisamarie Smith

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.

LISAMARIE ENTERPRISES LLC FKA COMPASSIONATE ADVISOR, LLC/NON-INVESTMENT-RELATED/3801 PGA BLVD. SUITE# 600, PALM BEACH GARDENS, FLORIDA 33410/INTEGRAL LIFE COACH/MANAGING MEMEBER/STARTED 2012/ALLOCATES APPROXIMATELY 10% OF TIME PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisamarie Lozon's CRS (Customer Relationship Summary).

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

July 24, 2014 - Present

PINAFORE WEALTH COUNSEL INC.

Office #1: 3801 Pga Blvd Suite 600, Palm Beach Gardens, FL 33410

RIA

CRD#: 170540

Palm Beach Gardens, FL

Past

June 2, 2008 - December 31, 2008

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

AUSTIN, TX

Past

June 2, 2008 - December 31, 2008

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

AUSTIN, TX

Past

May 29, 2007 - January 24, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

AUSTIN, TX

Past

May 29, 2007 - January 24, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

AUSTIN, TX

Past

March 3, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

AUSTIN, TX

Past

February 28, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

AUSTIN, TX

Past

April 26, 2005 - February 28, 2006

NELSON FINANCIAL, LLC

RIA

CRD#: 134273

AUSTIN, TX

Past

July 1, 2003 - January 7, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

AUSTIN, TX

Past

July 1, 2003 - January 7, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 11, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

AUSTIN, TX

Past

July 29, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

PINAFORE WEALTH COUNSEL INC.

COMPASSIONATE ADVISOR LLC | PINAFORE WEALTH COUNSEL, INC. | PINAFORE WEALTH COUNSEL INC.

CRD#: 170540 / SEC#: 801-130577

RIA

Registered Investment Advisory firm - (7/1/2024 Approved)

Florida

Registered Investment Advisory firm - (7/16/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (7/29/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/26/2021 Terminated)

Missouri

Registered Investment Advisory firm - (7/16/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (7/31/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(8/12/2021)

IAR

Louisiana
(9/22/2014)

IAR

Missouri
(3/16/2017)

IAR

North Carolina
(7/24/2014)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/9/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/31/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/28/1997

General Securities Representative Examination

Current Firm

PINAFORE WEALTH COUNSEL INC.

COMPASSIONATE ADVISOR LLC | PINAFORE WEALTH COUNSEL, INC. | PINAFORE WEALTH COUNSEL INC.

CRD#: 170540 / SEC#: 801-130577

RIA

Registered Investment Advisory firm - (7/1/2024 Approved)

Florida

Registered Investment Advisory firm - (7/16/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (7/29/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/26/2021 Terminated)

Missouri

Registered Investment Advisory firm - (7/16/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (7/31/2024 Terminated)

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Contact information

Main Address

3622 Lyckan Pkwy Ste 3004, Durham, NC 27707

Mailing Address

Phone number

(919) 213-0458

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PINAFORE WEALTH COUNSEL INC. ADV BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	307
AUM (Assets Under Management)	$ 132,767,709

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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Firm Stability Insights

Lisamarie Lozon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisamarie Lozon's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

NELSON FINANCIAL, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

PINAFORE WEALTH COUNSEL INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/9/2014

Series 63

Date: 7/31/1997

Series 7

Date: 7/28/1997

Current Firm

PINAFORE WEALTH COUNSEL INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PINAFORE WEALTH COUNSEL INC.

TRUST BUT VERIFY

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