LM
Lisette Mandwee Ndzie
TRANSAMERICA FINANCIAL ADVISORS
Houston, TX 77040
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CRD#: 6641368
LM
Professional summary
Lisette Mandwee Ndzie, who also goes by Lisette Ngamessi Mandwee Ndzie, Florence Felicite Not Applicable, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Houston, Texas.
Lisette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Lisette 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
Lisette Ngamessi Mandwee Ndzie | Florence Felicite Not Applicable
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. Drastic Steps, LLC / 0522-Present / Investment Related: No / 5807 Beverlyhill St, 27 Houston, TX 77056 / Managing Member / I need an assistant / Hrs. Work Monthly:10 / Sec Trading Hrs:1/ I will be responsible for hiring and training an administrative assistant. I may hire other staff seasonally based on the need. The assistant will help with my non-securities business, which will allow me to focus on learning my securities business. NATIONAL ASSOCIATION OF REGISTERED SECURITY ANALYSTS | NOT INVESTMENT RELATED | 68 SOUTH SERVICE ROAD STE 100 MELVILLE NY 11747 | SOCIAL SECURITY MEDICARE | START DATE: 11/1/2021 | 20HR/MO-1HR DURING TRADING | PROVIDING CLIENTS ADVICE ON ISSUES RELATED TO SOCIAL SECURITY. Heartland Institute of Financial Education/No/8301 East Prentice Avenue, Suite 312, Greenwood Village, CO, 80111/Financial Education, College planning, funding and coaching program/College Consultant/11.30.2012/5/0/As a certified College Consultant, I help families understand the need to plan for college by using the HIFE approved powerpoint presentation and brochures. In case parent are interested in enrolling their kids into the program, I help them go through the enrollment process with HIFE. Once that step is completed, HIFE will assist the student in the college planning process (help identify the right major, the right school, scholarships that student can apply to, provide continuous coaching). Along the way, I stay in contact with the student and parents to make sure the student is completing the tasks assigned by the HIFE coach. The end goal is to ensure that the student gets full advantage of the program. LISETTE MANDWEE NDZIE SOLE PROP - DBA LISETTE MANDWEE NDZIE FINANCIAL SERVICES (MY CURRENT BUSINESS ACCOUNT)POSITION: Client NATURE: It is just a bank account allowing me to track my business expenses and income INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/05/2019ADDRESS: 5171 San Felipe St, Houston TX 77056, United States DESCRIPTION: None TRANSAMERICA EMPLOYEE BENEFITS POSITION: Agent NATURE: Offers employee benefits packages INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2023 ADDRESS: 6400 C Street SW, Cedar Rapids IA 52499, United States DESCRIPTION: I would like to provide an array of services to small businesses that can help in employee recruitment and retention. These include employer-paid group term life insurance, supplemental health insurance, disability insurance or any other employee benefits offered by Transamerica Employee Benefits that can help meet the needs of both employers and employees. GOD'S GARAGE \ POSITION: They want me to become a Board Member NATURE: Non Profit for poverty. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2022 ADDRESS: 2106 E Davis St, Conroe TX 77301 \ DESCRIPTION: Meetings, and onboarding LEGACYSHIELD SOLUTIONS, INC. POSITION: Referral partner NATURE: Estate Plans (trust and wills) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 30 START DATE: 01/08/2025 ADDRESS: LegacyShield Solutions, Inc., 1 Linscott Rd, Woburn MA 01810, United States DESCRIPTION: I schedule an appointment with a LegacyShield estate planning attorney whenever have a client that may need their services. The initial consultation is free of charges. INHERITGUARD, LLC POSITION: NOT APPLICABLE/NONE NATURE: Estate Planning Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 30 START DATE: 01/08/2025 ADDRESS: 30 N Gould Street, STE 41954, SHERIDAN WY 82801, United States DESCRIPTION: PROVIDING BUNDLED PROFESSIONAL SERVICES WITH EMPHASIS ON ESTATE PLANNING SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Lisette Mandwee Ndzie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisette Mandwee Ndzie'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
July 9, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 13831 Northwest Freeway Suite 215, Houston, TX 77040RIA
BD
CRD#: 16164
Houston, TX
Current
May 30, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 13831 Northwest Freeway Suite 215, Houston, TX 77040RIA
BD
CRD#: 16164
Houston, 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".
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(1/7/2021)
RR
Maryland(8/26/2021)
RR
New York(3/2/2021)
RR
Texas(6/21/2016)
IAR
Texas(7/9/2019)
RR
Virginia(7/22/2021)
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.
