Lisa S. Ozkan

NEA MEMBER BENEFITS

Gaithersburg, MD 20878-1360

CRD#: 5061654

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Professional summary

Lisa Sotir Ozkan, who also goes by Lisa M Ozkan, Lisa Ozkan, Lisa M Sotir, Lisa Sotir, is a registered financial advisor currently at NEA MEMBER BENEFITS located in Gaithersburg, Maryland.

Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Lisa has worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa M Ozkan | Lisa Ozkan | Lisa M Sotir | Lisa Sotir

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) - RIA

Click below to view Lisa Sotir Ozkan'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

January 29, 2025 - Present

NEA MEMBER BENEFITS

Office #1: 900 Clopper Road Suite 300, Gaithersburg, MD 20878-1360

RIA

CRD#: 138196

Gaithersburg, MD

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".

NEA MEMBER BENEFITS

NEA MEMBER BENEFITS | NEA'S MEMBER BENEFITS CORPORATION

CRD#: 138196 / SEC#: 801-64989

RIA

Registered Investment Advisory firm - (11/10/2005 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(1/29/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/27/2025

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/27/2024

Securities Industry Essentials Examination

Current Firm

NEA MEMBER BENEFITS

NEA MEMBER BENEFITS | NEA'S MEMBER BENEFITS CORPORATION

CRD#: 138196 / SEC#: 801-64989

RIA

Registered Investment Advisory firm - (11/10/2005 Approved)

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Contact information

Main Address

900 Clopper Road Suite 300, Gaithersburg, MD 20878-1360

Mailing Address

Phone number

(301) 251-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

2024-2025 FORM ADV PART 2 (11/19/2025)

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.

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Lisa S. Ozkan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Sotir Ozkan's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEA MEMBER BENEFITS

Primary Firm SEC Registration

NEA MEMBER BENEFITS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/2025

SIE

Date: 9/27/2024

Current Firm

NEA MEMBER BENEFITS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

NEA MEMBER BENEFITS

TRUST BUT VERIFY

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