Lisa L. Picillo

SPINNAKER ASSET MANAGEMENT

WARWICK, RI 02886

Some features on this profile are disabled

CRD#: 5208562

Professional summary

Lisa Lynn Picillo, CFP®, who also goes by Lisa Lynn Lavergne, Lisa Lynn Picillo, Lisa Picillo, Lisa Lynn Picillo, is a registered financial advisor currently at SPINNAKER ASSET MANAGEMENT INC. located in Warwick, Rhode Island and PURSHE KAPLAN STERLING INVESTMENTS located in Warwick, Rhode Island.

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 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa Lynn Lavergne | Lisa Lynn Picillo | Lisa Picillo | Lisa Lynn Picillo

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) Spinnaker Asset Management. Investment Related. At registered location. Wealth Management. Financial Advisor. 11/2019. 80hrs/mo. 4hrs/mo during trading. Financial Planning and Investment Management 2) Fixed Insurance. Investment Related. At registered location. Fixed/Traditional Insurance. Agent. 09/2021. 10hrs/mo. 10hrs/mo during trading hrs. Sales of Fixed/Traditional Insurance Products 3) PKS Financial. Investment Related. 80 State Street, Albany NY 12207. Fixed/Traditional Insurance. Agent. 09/2021. 10hrs/mo. 10hrs/mo during trading hrs. Sales of Fixed/Traditional Insurance Products 4) Picillo Advisors LLC. Not investment related. 40 Tifft Rd North Smithfield, RI 02896. Holding Company. Owner. 11/28/2023. Hrs/month 40 all during trading hours. Picillo Advisors, LLC is the intended pass-through entity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Lynn Picillo'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®

CFP^®

Certified Financial Planner

Experience

Current

December 17, 2019 - Present

SPINNAKER ASSET MANAGEMENT INC.

Office #1: 250a Centerville Road Suite 2, Warwick, RI 02886

RIA

CRD#: 148489

WARWICK, RI

Current

September 13, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 250a Centerville Road Suite 2, Warwick, RI 02886

CRD#: 35747

Warwick, RI

Past

December 19, 2018 - November 4, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PROVIDENCE, RI

Past

November 16, 2018 - November 4, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PROVIDENCE, RI

Past

February 4, 2008 - September 8, 2017

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

SMITHFIELD, RI

Past

January 11, 2007 - November 12, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

LINCOLN, RI

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

IAR

Florida
(6/26/2024)

IAR

Massachusetts
(8/29/2023)

IAR

Rhode Island
(12/17/2019)

Rhode Island
(11/16/2021)

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 66

Date: 12/18/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/26/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 9/8/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/10/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SPINNAKER ASSET MANAGEMENT INC.

SPINNAKER ASSET MANAGEMENT INC | SPINNAKER ASSET MANAGEMENT INC.

CRD#: 148489 / SEC#:

Florida

Registered Investment Advisory firm - (1/21/2022 Approved)

Massachusetts

Registered Investment Advisory firm - (8/29/2023 Approved)

Rhode Island

Registered Investment Advisory firm - (9/25/2008 Approved)

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

250a Centerville Road Suite 2, Warwick, RI 02886

Mailing Address

250a Centerville Road Suite 2, Warwick, RI 02886

Phone number

(401) 884-3210

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	309
AUM (Assets Under Management)	$ 27,408,903

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.

Similar Advisors

David Loughlin

CITIZENS SECURITIES, INC.

IAR

WARWICK, RI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lisa L. Picillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Lynn Picillo's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NATIONAL FINANCIAL SERVICES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2018

Series 63

Date: 3/26/2007

Series 99TO

Date: 1/2/2023

SIE

Date: 9/8/2017

Series 7

Date: 1/10/2007

FINRA

Current Firm

SPINNAKER ASSET MANAGEMENT INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPINNAKER ASSET MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors