LV
Lisa A. Vanarsdale
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CRD#: 5146982
LV
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 Ann Vanarsdale, who also goes by Lisa Ann Butzen, Lisa Ann Van Arsdale, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2015. Lisa had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa Ann Butzen | Lisa Ann Van Arsdale
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 OTHER BUSINESS: SAGEVIEW ADVISORY GROUP, LLC (CRD #126777) INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INVESTMENT ADVISORY ACTIVITIES POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR START DATE: 11/2022 APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 30 BRIEF DESCRIPTION OF DUTIES: I WILL BE WORKING WITH INDIVIDUALS AND SMALL BUSINESS OWNERS HELPING THEM REACH THEIR FINANCIAL GOALS, WE WILL MANAGE ASSORTED INVESTMENT ACCOUNTS ON THEIR BEHALF AS EMPLOYEES OF SAGEVIEW; 2. NAME OF OTHER BUSINESS: PINE VALLEY COMMUNITY ASSOCIATION INVESTMENT RELATED: NO ADDRESS: KILDEER, IL 60047 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 6/2022 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT APX NUMBER OF HOURS PER WEEK: .25 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ADMINISTRATIVE DUTIES FOR THE NEIGHBORHOOD ASSOCIATION; 3. NAME OF OTHER BUSINESS: 3RIVERS, LLC INVESTMENT RELATED: NO ADDRESS: 5855 RIDGE BEND ROAD, MEMPHIS, TN 38120 NATURE OF BUSINESS: HELP OTHER ADVISORS BE BETTER BUSINESS OWNERS START DATE: 10/2020 POSITION/TITLE/RELATIONSHIP: CO-OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: AN ONLINE TRAINING PLATFORM TO SHARE OUR BEST PRACTICES AND PROCESSES WITH OTHER FINANCIAL ADVISORS AND BUSINESS OWNERS. I HELP RUN THE PLATFORM, BUDGETING, CREATE CONTENT AND RUN SOCIAL MEDIA. WE HAVE PAUSED THE PLATFORM AND NO LONGER TAKING NEW CLIENTS. IT IS A DORMANT STATUS WITH THIS CHANGE TO CETERA, NO INCOME IS COMING IN, NO CONTENT IS BEING PUT OUT. SOCIAL MEDIA POSTS HAVE ALSO STOPPED; 4. NAME OF OTHER BUSINESS: VANARSDALE FAMILY HOLDINGS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: THIS IS AN ENTITY ONLY USED FOR TAX AND PAYROLL PURPOSES. START DATE: 10/2015 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: THIS IS AN ENTITY ONLY USED FOR TAX AND PAYROLL PURPOSES. INCOME FROM LPL IS PAID TO JUDY VANARSDALE, THEN ADDED TO VANARSDALE FINANCIAL. FROM THERE AFTER EXPENSES PAID BUSINESS INCOME IS SPLIT 50/50 BETWEEN JUDY VANARSDALE (VANARSDALE PARTNERSHIP) AND ME (VANARSDALE FAMILY HOLDINGS) THIS WAS CREATED AS AN ENTITY WHEN I BOUGHT 50% OF THE BUSINESS FROM JUDY VANARSDALE AND THE ACCOUNTANTS AND TAX ATTORNEYS SET UP THE CORPORATIONS THIS WAY; 5. NAME OF OTHER BUSINESS: VANARSDALE FINANCIAL INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX AND ACCOUNTING PURPOSES ONLY START DATE: 10/2015 POSITION/TITLE/RELATIONSHIP: CO-OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: THIS IS USED AS THE CORPORATE NAME BEHIND LAKEVIEW WEALTH MANAGEMENT. LAKEVIEWWM IS THE DBA AND CLIENT FACING NAME. ALL INCOME/ EXPENSES ARE PAID THROUGH VANARSDALE FINANCIAL. IT IS ALSO THE CORPORATION THAT PAYS OUR EMPLOYEES, COVERS RENT ETC; 6. NAME OF OTHER BUSINESS: LAKEVIEW WEALTH MANAGEMENT INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: WEALTH MANAGEMENT START DATE: 10/2015 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR AND CO-OWNER APX NUMBER OF HOURS PER WEEK: 80 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: THIS WILL ONLY BE USED DURING THE TRANSITION TO SAGEVIEW, WILL BE USING SAGEVIEW GOING FORWARD
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
December 16, 2022 - June 27, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Deer Park, IL
Past
November 16, 2022 - May 30, 2025
SAGEVIEW ADVISORY GROUP, LLC
RIA
CRD#: 126777
NEWPORT BEACH, CA
Past
March 4, 2016 - November 25, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
DEER PARK, IL
Past
September 2, 2015 - November 25, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
DEER PARK, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
