Lisa M. Shive

RBG WEALTH ADVISORS LLC

Memphis, TN 38117

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CRD#: 6484194

Professional summary

Lisa Marie Shive, who also goes by Lisa M Shive, is a registered financial advisor currently at RBG WEALTH ADVISORS LLC located in Memphis, Tennessee.

Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Lisa has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa M Shive

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.

The Avenue Memphis. Not investment related. Memphis, TN. DBA/Support Company. Financial Advisor. Started: 04/2023. 0 hrs per month, 0 during trading hrs. Giving clients investment advice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Marie Shive'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

September 23, 2024 - Present

RBG WEALTH ADVISORS LLC

Office #1: 5100 Wheelis Dr Suite 211, Memphis, TN 38117

RIA

CRD#: 319486

Memphis, TN

Past

April 28, 2023 - January 23, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Memphis, TN

Past

March 15, 2022 - April 13, 2023

FCG INVESTMENT COMPANY

RIA

CRD#: 308192

GERMANTOWN, TN

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".

RBG WEALTH ADVISORS LLC

CRD#: 319486 / SEC#: 801-131678

RIA

Registered Investment Advisory firm - (12/20/2024 Approved)

Tennessee

Registered Investment Advisory firm - (1/14/2025 Terminated)

Texas

Registered Investment Advisory firm - (1/13/2025 Terminated)

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.

Highlighted states indicate IAR registrations

IAR

Tennessee
(9/23/2024)

IAR

Texas
(11/25/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/25/2022

Uniform Investment Adviser Law Examination

Current Firm

RBG WEALTH ADVISORS LLC

CRD#: 319486 / SEC#: 801-131678

RIA

Registered Investment Advisory firm - (12/20/2024 Approved)

Tennessee

Registered Investment Advisory firm - (1/14/2025 Terminated)

Texas

Registered Investment Advisory firm - (1/13/2025 Terminated)

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Contact information

Main Address

5100 Wheelis Dr Suite 211, Memphis, TN 38117

Mailing Address

Phone number

(901) 244-2980

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- RBG WEALTH ADVISORS LLC (1/14/2025)

Regulatory assets under management

Total Number of Accounts	283
AUM (Assets Under Management)	$ 105,016,228

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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Lisa M. Shive

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Marie Shive's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBG WEALTH ADVISORS LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

FCG INVESTMENT COMPANY

Primary Firm SEC Registration

RBG WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/2022

Current Firm

RBG WEALTH ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RBG WEALTH ADVISORS LLC

TRUST BUT VERIFY

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