LV
Lisa A. Van Zee
COLLIERS SECURITIES LLC
Minneapolis, MN 55402
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CRD#: 3212337
LV
Professional summary
Lisa A Van Zee, who also goes by Lisa A Hofslien, is a registered financial professional currently at COLLIERS SECURITIES LLC located in Minneapolis, Minnesota.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2001. Lisa has worked at 2 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa A Hofslien
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.
CRS (Client Relationship Summary) - BD
Click below to view Lisa A Van Zee'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 27, 2020 - Present
COLLIERS SECURITIES LLC
Office #1: 90 South Seventh Street, Suite 4300, Minneapolis, MN 55402RIA
BD
CRD#: 7477
Minneapolis, MN
Past
July 20, 2001 - February 6, 2020
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
MINNEAPOLIS, MN
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".
COLLIERS SECURITIES LLC
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
RIA
Registered Investment Advisory firm - SEC (9/25/2014 Approved)Arizona
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)California
Registered Investment Advisory firm - SEC (10/20/2014 Terminated)Florida
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (10/13/2014 Terminated)North Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)South Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
COLLIERS SECURITIES LLC
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
RIA
Registered Investment Advisory firm - SEC (9/25/2014 Approved)Arizona
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)California
Registered Investment Advisory firm - SEC (10/20/2014 Terminated)Florida
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (10/13/2014 Terminated)North Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)South Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108
Mailing Address
90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108
Phone number
(612) 376-4000
Established
Delaware since 08/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
120
SEC notice filing (15 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLLIERS MORTGAGE HOLDINGS LLC | DIRECT OWNER | |
| HABLE, DEBORAH MARIE | OPERATIONS MANAGER | 1596570 |
| HINIKER, JAMES JOHN III | SVP | 2148843 |
| JACOBSON, JEFFREY DUANE | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER | 1976541 |
| JOHNSON, MARK KENNETH | VP, BRANCH MANAGER, CHIEF SUPERVISION OFFICER | 1433801 |
| JURAN, DAVID BRAMLEY | CHAIRMAN OF THE BOARD | 2166483 |
| MULLEN, DAVID THOMAS | EVP, BOARD MEMBER | 1273590 |
| NORRIS, ROGER ALLAN | SVP, REGISTERED OPTIONS PRINCIPAL | 2201413 |
| STEICHEN, THOMAS FRANCIS | EVP, CCO & GENERAL COUNSEL, BOARD MEMBER | 6920110 |
| THEIS, CRAIG DANIEL | SVP, BOARD MEMBER | 4365341 |
| VAN HANDEL, REBECCA | CHIEF FINANCIAL OFFICER & FINOP | 7558187 |
Regulatory assets under management
| Total Number of Accounts | 1,016 |
| AUM (Assets Under Management) | $ 280,660,825 |
Disclosures
| Regulatory Event | 25 |
| Arbitration | 10 |
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.
