LM
Lisa Morgan
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CRD#: 5464190
LM
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 Morgan, who also goes by Lisa Susan Albert, Lisa Susan Morgan, Lisa Morgan, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2010. Lisa had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa Susan Albert | Lisa Susan Morgan | Lisa Morgan
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 Business: Atlantic Union Bank Address: 999 Waterside Drive, Norfolk, VA, 23510, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 04/12/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Building and maintaining relationships with high net worth clients (2)Name of Business: Atlantic Union Bank Wealth Management/Atlantic Union Financial Consultants LLC Address: 999 Waterside Drive, Norfolk, VA, 23510, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/12/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Building and maintaining relationships with high net worth clients (3)Name of Business: Hampton Roads Gift Planning Council Address: 565 S Atlantic Avenue, Virginia Beach, VA, 23451, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member Investment Related: Yes Start Date: 01/03/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Responsible for maintaining oversight of financials. Have an administrator that handles many affairs. (4)Name of Business: Virginia Beach Vision Address: 222 Central Park Avenue, Virginia Beach, VA, 23462, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Advisory Board Investment Related: No Start Date: 02/12/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Virginia Beach Vision was founded in 1993 by a handful of prominent business and civic leaders who saw the need for a non-partisan, issue-oriented group to provide private sector leadership that could help advance the City and the Hampton Roads region in developing and furthering goals of progress and prosperity throughout our communities.
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
October 13, 2021 - February 21, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Williamsburg, VA
Past
October 13, 2021 - February 21, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
WILLIAMSBURG, VA
Past
September 19, 2018 - April 21, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NORFOLK, VA
Past
May 23, 2018 - April 21, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NORFOLK, VA
Past
December 6, 2012 - November 13, 2013
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WILMINGTON, DE
Past
January 31, 2012 - November 13, 2013
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WILMINGTON, DE
Past
November 24, 2010 - February 9, 2011
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
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".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES
CRD#: 149018 / SEC#: 801-69815
RIA
Registered Investment Advisory firm - (12/23/2008 Approved)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES
CRD#: 149018 / SEC#: 801-69815
RIA
Registered Investment Advisory firm - (12/23/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
