Lisa Vanarsdale

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