LB
Lisa A. Berndt
TRANSAMERICA FINANCIAL ADVISORS
Jacksonville, FL 32256
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CRD#: 6594733
LB
Professional summary
Lisa A Berndt, who also goes by Lisa A Risoldi, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Jacksonville, Florida.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Lisa has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa A Risoldi
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Wealthwave | marketing | investment related | Jacksonville, FL | approved co-brand company through WFGIA | 1/2016 Adamy Law / 0221-Present / Investment Related: No / 2850 Isabella Boulevard, Suite 10 Jacksonville, FL 32250 / Chief Admin Coordinator / Hrs Work Monthly: 70 / Sec Trading Hrs: 4 / Office clerical work: emails, phone calls, copy documents, prepare binders, etc. COTY US - PRESTIGE (LANC)/Investment Related - No/City US - Prestige (LANC), 350 5th Ave - 19th Floor, New York, NY 10118 (212) 389-7300/Promote fragrance/Fragrance Consultant/10.2007/30/0/Promote fragrance JAX BEACH FESTIVALS/Investment Related - No/PO Box 51348, Jacksonville Beach, Fl. 32240/Office duties on site day(s) of festival./Festival Office Leader/03.2014/30/0/Payouts to staff, performers, security. Collect, count and verify revenue received during festival hours. Handle any administrative duties that may occur during festival hours. AllWork; Investment Related/No; 1090 King Georges Post Rd. Suite 505 Edison, NJ 08837; Brand Ambassador/Fragrance Promotion/ 11/2018; 35 hrs/month; 4hrs during sec. trading; Promoting Fragrances Trident Consulting and Services; Investment Related/No; 3584 Trident Court Jacksonville Beach, FL 32250; Administrative work; 11/2018; 40 hrs/month; 6 during securities trading; completing forms, making phone calls, scheduling events, etc. approved with restrictions College Loan Freedom; Investment Related/No; 129 W Lake Mead Pkwy. #19 Henderson, NV 89015; Referral Agent 10/25/2018; Reduce Clients monthly student loan payments and get their debits partially or fully forgiven using existing government programs that are in place right now; hrs/month 12; hrs during sec. trading 2; Refer Potential Clients; approved with restrictions Legal sheild/ 0120-Present / Investment Related: No/ Agent / Legal&Identity thief / Hrs Work Monthly: 2 / Sec Trading Hrs: 1 / Provide legal plan memberships and identity thief memberships to individuals, companies, and employer benefit groups throughout the United States and Canada. United Financial Freedom / 0520-Present / Investment Related: No /120 E 13065 S Draper, UT 84020 / Agent / Debt Elimination tool / Hrs Work Monthly: 4 / Sec Trading Hrs:1 / Introduce appropriate clients to this software tool, refer them to a specialist to get them set up on the plan. US PROCESSING SOLUTIONS COMPANY POSITION: Referring Associate NATURE: College Loan advice INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 10/17/2022 ADDRESS: 17612 Beach Blvd, Huntington Beach CA 92647, United States DESCRIPTION: Referring clients for possible college loan repayment assistance, setting up 3-way phone appointments ADAMIS GROUP \ POSITION: Brand Ambassador NATURE: Fragrance INVEST RELATED: No \ HRS: 20 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2024 \ ADDRESS: 32 East 57th Street, 8th Floor, New York NY 10022, \ DESCRIPTION: Promoting / selling fragrance NDM SERVICES \ POSITION: admin assistant NATURE: Administrative Services INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 3 START DATE: 06/10/2024 ADDRESS: 8081 Philips Hwy, Jacksonville FL 32256 \ DESCRIPTION: Admin and service work
CRS (Client Relationship Summary) - RIA
Click below to view Lisa A Berndt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa A Berndt'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®
NoneExperience
Current
March 27, 2023 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 8081 Philips Highway Suite 22, Jacksonville, FL 32256RIA
BD
CRD#: 16164
Jacksonville, FL
Current
December 28, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 8081 Philips Highway Suite 22, Jacksonville, FL 32256RIA
BD
CRD#: 16164
Jacksonville, FL
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Florida(12/28/2015)
IAR
Florida(3/27/2023)
RR
New Jersey(3/21/2016)
RR
Oklahoma(3/12/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
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
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Jacksonville, FL 32256TRUST BUT VERIFY
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