Lisa Krieger
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 Krieger, who also goes by Lisa M Krieger, Lisa Marie Krieger, Lisa Scarbrough, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2000. Lisa had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2015 - September 14, 2015
EDWARD JONES
March 9, 2015 - September 14, 2015
EDWARD JONES
December 10, 2012 - October 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2012 - October 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 2012 - September 6, 2012
CETERA ADVISORS LLC
March 13, 2012 - September 6, 2012
CETERA ADVISORS LLC
June 7, 2011 - May 17, 2012
BIC DISTRIBUTORS, LLC
December 17, 2010 - June 23, 2011
VANGUARD MARKETING CORPORATION
April 15, 2010 - November 3, 2010
PRINCIPAL SECURITIES, INC.
March 16, 2010 - November 3, 2010
PRINCIPAL SECURITIES, INC.
March 8, 2010 - March 9, 2010
PRINCIPAL SECURITIES, INC.
December 5, 2006 - March 15, 2010
NATIONWIDE INVESTMENT ADVISORS, LLC
December 20, 2005 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 8, 2005 - May 31, 2006
1717 CAPITAL MANAGEMENT COMPANY
January 16, 2001 - March 15, 2010
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 14, 2000 - January 2, 2001
VOYA FINANCIAL PARTNERS, LLC
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
