Lisa D. Ford

LPL ENTERPRISE

PLANO, TX 75024

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CRD#: 5367488

Professional summary

Lisa Dionne Ford, who also goes by Lisa Dionne Bennett, Lisa Dionne Lumpkin, Lisa D Randle, Lisa Dionne Randle, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Plano, Texas.

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 6 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

Lisa Dionne Bennett | Lisa Dionne Lumpkin | Lisa D Randle | Lisa Dionne Randle

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. 09/17/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Wylie TX - OBA Start date: 09/01/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading 2. 09/17/2026 - LISA FORD N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Wylie TX - OBA Start date: 09/01/2026 - 160 Hour(s)/Month – 160 Hour(s) During Trading 3. 09/17/2026 - Lisa Ford - Non-Variable Insurance - INV REL - Dallas TX - OBA Start date: 09/18/2006 - 5 Hour(s)/Month – 5 Hour(s) During Trading 4. 09/17/2026 - Collin County Black Chamber of Commerce - Non-Profit Board Member - NOT INV REL - Plano TX - OBA Start date: 03/02/2020 - 10 Hour(s)/Month – 0 Hour(s) During Trading 5. 09/17/2026 - IARFC US Chapter - Non-Profit Board Member - NOT INV REL - Middletown OH - OBA Start date: 04/01/2026 - 5 Hour(s)/Month – 0 Hour(s) During Trading 6. 09/17/2026 - Ascend Financial Planning and Wealth Management - DBA for LPL Business (entity for LPL business) - INV REL - Dallas TX - OBA Start date: 03/14/2017 - 160 Hour(s)/Month – 160 Hour(s) During Trading 7. 09/17/2026 - Genesis Business and Tax Services - Notary - INV REL - Wylie TX - OBA Start date: 11/14/1995 - 1Hour(s)/Month – 1 Hour(s) During Trading 8. 09/17/2026 - Genesis Business and Tax Services - Tax Prep/Accounting/CPA - INV REL - Dallas TX - OBA Start date: 01/02/2001 - 25 Hour(s)/Month – 20 Hour(s) During Trading 9. 09/17/2026 - Ascend Financial Planning and Wealth Mgmt - Non-Variable Insurance - INV REL - Dallas TX - OBA Start date: 10/23/2012 - 5 Hour(s)/Month – 5 Hour(s) During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Dionne Ford's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Lisa Dionne Ford's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 47261

HUSTON, TX

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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

Georgia
(9/21/2026)

Iowa
(9/21/2026)

Ohio
(9/21/2026)

Texas
(9/21/2026)

IAR

Texas
(9/21/2026)

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

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 10/8/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 11/14/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

5,215

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (7/1/2026)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
EVANGELIOU, KIRIAKOS ANDREAS	SVP, CHIEF COMPLIANCE OFFICER	2496177
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742

Regulatory assets under management

Total Number of Accounts	139,192
AUM (Assets Under Management)	$ 24,939,385,373

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2026	Cover Page	Report
06/25/2025	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 D. Ford

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Dionne Ford's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Lisa Dionne Ford's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

GREAT NATION INVESTMENT CORPORATION

GREAT NATION INVESTMENT CORPORATION

WADDELL & REED

WADDELL & REED

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

UNITED EQUITY SECURITIES, LLC

UNITED EQUITY SECURITIES, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Passed: 10/8/2007

SIE

Passed: 10/1/2018

Series 7

Passed: 11/14/2007

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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