SL
Sharon A. Lisac
NORTHWEST WEALTH MANAGEMENT
WEST DES MOINES, IA 50266
Some features on this profile are disabled
CRD#: 4521667
SL
Professional summary
Sharon Ann Lisac is a registered financial advisor currently at NORTHWEST WEALTH MANAGEMENT, LLC located in West Des Moines, Iowa.
Sharon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Sharon has worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NORTHWEST BANK 5700 UNIVERSITY AVENUE, SUITE 100 WEST DES MOINES, IA 50266 NON-INVESTMENT RELATED PRIVATE BANKING MANAGER APRIL 2010 TO PRESENT DEVOTES 39 HOURS PER MONTH 29 OF WHICH ARE DURING SECURITIES TRADING HOURS DUTIES INCLUDE PRIVATE BANKER FOR HIGHER NET WORTH CLIENTS
CRS (Client Relationship Summary) - RIA
Click below to view Sharon Ann Lisac'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
April 29, 2010 - Present
NORTHWEST WEALTH MANAGEMENT, LLC
Office #1: 5700 University Avenue Suite 100, West Des Moines, IA 50266RIA
CRD#: 152816
WEST DES MOINES, IA
Past
December 10, 2003 - April 13, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
CLIVE, IA
Past
May 10, 2002 - April 13, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
CLIVE, IA
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".
NW
NORTHWEST WEALTH MANAGEMENT, LLC
NORTHWEST WEALTH MANAGEMENT, LLC
CRD#: 152816 / SEC#: 801-72545
RIA
Registered Investment Advisory firm - (7/5/2011 Approved)Indiana
Registered Investment Advisory firm - (7/12/2011 Terminated)Iowa
Registered Investment Advisory firm - (7/18/2011 Terminated)Nebraska
Registered Investment Advisory firm - (8/31/2011 Terminated)South Dakota
Registered Investment Advisory firm - (7/12/2011 Terminated)Texas
Registered Investment Advisory firm - (7/12/2011 Terminated)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.Highlighted states indicate IAR registrations
IAR
Iowa(4/29/2010)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
NW
NORTHWEST WEALTH MANAGEMENT, LLC
NORTHWEST WEALTH MANAGEMENT, LLC
CRD#: 152816 / SEC#: 801-72545
RIA
Registered Investment Advisory firm - (7/5/2011 Approved)Indiana
Registered Investment Advisory firm - (7/12/2011 Terminated)Iowa
Registered Investment Advisory firm - (7/18/2011 Terminated)Nebraska
Registered Investment Advisory firm - (8/31/2011 Terminated)South Dakota
Registered Investment Advisory firm - (7/12/2011 Terminated)Texas
Registered Investment Advisory firm - (7/12/2011 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1607 W. 18th Street, Spencer, IA 51301
Mailing Address
Phone number
(877) 207-0994
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,063 |
| AUM (Assets Under Management) | $ 865,221,987 |
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
NORTHWEST WEALTH MANAGEMENT, LLC
CRD#: 152816West Des Moines, IA 50266TRUST BUT VERIFY
Monitor Sharon Lisac
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
