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LK

Lisa M. Kramer

SLD AMERICA EQUITIES
NORTH OAKS, MN
Some features on this profile are disabled
CRD#: 4254044
LK

Professional summary

Lisa Marie Kramer, who also goes by Lisa Marie Schlieman, is a registered financial professional currently at SLD AMERICA EQUITIES, INC. located in North Oaks, 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 SIE, Series 6TO and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Marie Schlieman

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) - BD

Click below to view Lisa Marie Kramer'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®
None

Experience

Current

June 6, 2023 - Present

SLD AMERICA EQUITIES, INC.

BD
CRD#: 36259
NORTH OAKS, MN
Past

December 21, 2001 - August 30, 2004

SLD AMERICA EQUITIES, INC.

BD
CRD#: 36259
WEST CHESTER, PA
Past

August 13, 2001 - December 21, 2001

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT

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
SIE
Date: 6/6/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/27/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/9/2001
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SLD AMERICA EQUITIES, INC.
ING AMERICA EQUITIES, INC. | VOYA AMERICA EQUITIES, INC. | SLD AMERICA EQUITIES, INC.

CRD#: 36259 / SEC#: , 8-47089

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Mailing Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Phone number
(763) 342-9429
Established
Colorado since 09/27/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SECURITY LIFE OF DENVER INSURANCE COMPANYPARENT OF BROKER/DEALER
ANDERSON, KELLY MARIEDEPUTY COMPLIANCE OFFICER1819119
BURNS, BRANDI JOPRESIDENT5862366
DIXIT, ANURAKTCHAIR/DIRECTOR8029030
ESLINGER, CHAD MICHAELCHIEF COMPLIANCE OFFICER4182299
KILIAN, CONRAD JOHANNFINANCIAL AND OPERATIONS PRINCIPAL6214509
SOCHA, KEVIN ROBERTDIRECTOR7241694
WIESE, AMY JODIRECTOR5928677

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

SLD AMERICA EQUITIES, INC.

CRD#: 36259North Oaks, MN

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