Lisa A. Geyen

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS

Buffalo, MN 55313

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CRD#: 5079216

Professional summary

Lisa Ann Geyen, who also goes by Lisa Ann Fobbe, is a registered financial advisor currently at DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. located in Buffalo, Minnesota and INDEPENDENT FINANCIAL GROUP, LLC located in Buffalo, Minnesota.

Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lisa has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Ann Fobbe

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) DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC. POSITION: Employee NATURE: Outside Registered Investment Advisor/Outside IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 02/05/2020 ADDRESS: 103 Marty Drive, Suite 101, Buffalo MN 55313, United States DESCRIPTION: Assisting in compliance for RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Ann Geyen's CRS (Customer Relationship Summary).

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 16, 2020 - Present

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

Office #1: 103 Marty Drive Suite 101, Buffalo, MN 55313

RIA

CRD#: 165145

Buffalo, MN

Current

February 4, 2020 - Present

INDEPENDENT FINANCIAL GROUP, LLC

Office #1: 103 Marty Drive, Suite 101, Buffalo, MN 55313

RIA

CRD#: 7717

Buffalo, MN

Past

December 23, 2013 - November 21, 2018

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

RIA

CRD#: 165145

BUFFALO, MN

Past

February 15, 2011 - December 31, 2012

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

BUFFALO, MN

Past

February 14, 2011 - December 31, 2018

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

BUFFALO, MN

Past

December 8, 2009 - December 26, 2013

SECURITIES MONITORING GROUP, LLC

RIA

CRD#: 113242

BUFFALO, MN

Past

December 13, 2007 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

BUFFALO, 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".

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

CRD#: 165145 / SEC#: 801-93169

RIA

Registered Investment Advisory firm - (4/20/2015 Approved)

Minnesota

Registered Investment Advisory firm - (5/13/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/13/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/13/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Minnesota
(2/4/2020)

IAR

Minnesota
(6/16/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/7/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/9/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

CRD#: 165145 / SEC#: 801-93169

RIA

Registered Investment Advisory firm - (4/20/2015 Approved)

Minnesota

Registered Investment Advisory firm - (5/13/2015 Terminated)

Texas

Registered Investment Advisory firm - (5/13/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (5/13/2015 Terminated)

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Contact information

Main Address

103 Marty Drive Suite 101, Buffalo, MN 55313

Mailing Address

Phone number

(763) 682-4014

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS DISCLOSURE BROCHURE (3/7/2025)

Regulatory assets under management

Total Number of Accounts	2,321
AUM (Assets Under Management)	$ 353,886,062

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/14/2025	Cover Page	Report
10/21/2024	Cover Page	Report
11/28/2023	Cover Page	Report
10/13/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Lisa A. Geyen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Ann Geyen's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

SECURITIES MONITORING GROUP, LLC

QA3 FINANCIAL CORP.

Primary Firm SEC Registration

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2008

Series 63

Date: 1/9/2008

SIE

Date: 10/1/2018

Series 7

Date: 12/12/2007

FINRA

Current Firm

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DOUGHERTY & ASSOCIATES FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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