Lisa J. Whelton
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 Jo Whelton, CFP®, who also goes by Lisa Jo Stamann, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2000. Lisa had worked at 4 firms and has passed the Series 63 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
December 14, 2012 - October 14, 2019
GARDEY FINANCIAL ADVISORS INC
April 29, 2002 - January 10, 2006
SECURITIES AMERICA, INC.
March 16, 2001 - April 30, 2002
CETERA ADVISORS LLC
October 12, 2000 - February 20, 2001
HORACE MANN INVESTORS, INC.
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
GARDEY FINANCIAL ADVISORS INC
CRD#: 105337 / SEC#: 801-22431
Contact information
Regulatory assets under management
| Total Number of Accounts | 607 |
| AUM (Assets Under Management) | $ 228,441,648 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/12/2024 | ||
| 09/28/2023 | ||
| 09/20/2022 |
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.
