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LC

Lisa R. Carlson

ADVISORY ALPHA
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 5693967
LC

Professional summary

Lisa Renae Carlson, who also goes by Lisa Renae Bender, Lisa Bender, Lisa R Bender, is a registered financial advisor currently at ADVISORY ALPHA, LLC located in West Des Moines, Iowa.

Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Lisa has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lisa Renae Bender | Lisa Bender | Lisa R Bender

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) Carlson Wealth Management LLC; Investment related; 5550 Wild Rose Ln #400, West Des Moines, IA 505266; Fixed Insurance and Financial Services; Founder and Financial Advisor; 10/2022; Approx. 160 hours/month; Approx. 160 hours/month during trading hours; Provides financial, consulting, and insurance services to clients. (2) Lisa Carlson Insurance Agent; Investment-related; 518 SW Driftwood Ct, Ankeny, IA 50023; Fixed insurance sales; Insurance Agent; 10/2022; Approx. 80 hours/month; Approx. 80 hours/month during trading hours; Sale of life insurance and annuities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Renae Carlson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 8, 2024 - Present

ADVISORY ALPHA, LLC

Office #1: 5550 Wild Rose Ln #400, West Des Moines, IA 50266
RIA
CRD#: 158282
West Des Moines, IA
Past

June 28, 2023 - January 4, 2024

SIMPLICITY WEALTH

RIA
CRD#: 300572
Johnston, IA
Past

October 14, 2022 - June 29, 2023

INTEGRITY ALLIANCE, LLC.

RIA
CRD#: 139627
Ankeny, IA
Past

October 18, 2016 - February 24, 2020

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

February 7, 2012 - September 8, 2015

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA

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".
AA
ADVISORY ALPHA, LLC
ADVISORY ALPHA | SUDDENLY SINGLE WEALTH MANAGEMENT | SCHIPPER & OSTERINK | MONEY TALES FINANCIAL | FINANCIAL TRANSITIONS LTD. | FINANCIAL DECISIONS | ESTATE DOCTOR | CONGER WEALTH MANAGEMENT | CASE WEALTH MANAGEMENT | ADVISORY ALPHA, LLC

CRD#: 158282 / SEC#: 801-72499

RIA
Registered Investment Advisory firm - (6/14/2011 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Iowa
(1/8/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/3/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/16/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/6/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AA
ADVISORY ALPHA, LLC
ADVISORY ALPHA | SUDDENLY SINGLE WEALTH MANAGEMENT | SCHIPPER & OSTERINK | MONEY TALES FINANCIAL | FINANCIAL TRANSITIONS LTD. | FINANCIAL DECISIONS | ESTATE DOCTOR | CONGER WEALTH MANAGEMENT | CASE WEALTH MANAGEMENT | ADVISORY ALPHA, LLC

CRD#: 158282 / SEC#: 801-72499

RIA
Registered Investment Advisory firm - (6/14/2011 Approved)
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Contact information

Main Address
348 S Waverly Rd Suite 100, Holland, MI 49423
Mailing Address
Phone number
(866) 530-1400
Established
Firm type
Fiscal year end
# of Employees
60

SEC notice filing (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADVISORY ALPHA, LLC ADV PART 2A (4/24/2025)

Regulatory assets under management

Total Number of Accounts22,480
AUM (Assets Under Management)$ 3,468,083,482

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.

Company Information

ADVISORY ALPHA, LLC

CRD#: 158282West Des Moines, IA 50266

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