Lisa M. Conner
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 Michelle Conner, who also goes by Lisa Michelle Marburger, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2001. Lisa had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2021 - January 2, 2025
CETERA INVESTMENT ADVISERS LLC
March 8, 2021 - January 2, 2025
CETERA INVESTMENT SERVICES LLC
September 2, 2016 - March 9, 2021
LPL FINANCIAL LLC
September 2, 2016 - March 9, 2021
LPL FINANCIAL LLC
November 21, 2014 - April 14, 2016
J.P. MORGAN SECURITIES LLC
November 21, 2014 - April 14, 2016
J.P. MORGAN SECURITIES LLC
October 1, 2012 - September 10, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - September 10, 2013
J.P. MORGAN SECURITIES LLC
March 21, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 21, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 22, 2011 - January 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 22, 2011 - January 30, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2009 - June 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - June 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 22, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
