LB
Lisa A. Brula
CETERA INVESTMENT ADVISERS LLC
BLOOMINGTON, MN 55437
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CRD#: 4382914
LB
Professional summary
Lisa Ann Brula, who also goes by Lisa Ann Leclaire, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bloomington, Minnesota and CETERA WEALTH SERVICES, LLC located in Bloomington, Minnesota.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Lisa has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Ann Leclaire
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.
1) NAME OF ENTITY:LeClaire Financial Services, Inc.; Yes; 8030 OLD CEDAR AVE S; BLOOMINGTON; MN; 55425; DBA; sales rep; 1/12/2010; 120; 120; DBA for insurance and securities; 2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 8030 OLD CEDAR AVE S STE 122; BLOOMINGTON; MN; 55425; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/16/2009; 160; 160; SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Ann Brula'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4200 W Old Shakopee Rd Ste 245, Bloomington, MN 55437RIA
CRD#: 105644
BLOOMINGTON, MN
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8030 Old Cedar Ave S Suite 122, Bloomington, MN 55425BD
CRD#: 13572
Bloomington, MN
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
April 20, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BLOOMINGTON, MN
Past
April 25, 2001 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BLOOMINGTON, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Illinois(6/9/2021)
RR
Iowa(6/9/2021)
RR
Minnesota(6/9/2021)
IAR
Minnesota(6/29/2023)
RR
Missouri(6/9/2021)
RR
Montana(6/9/2021)
RR
New York(6/9/2021)
RR
North Carolina(6/9/2021)
RR
Ohio(12/9/2024)
RR
South Carolina(6/9/2021)
RR
South Dakota(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Washington(6/9/2021)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
