Lisa M. Grefe

Some features on this profile are disabled

CRD#: 7116237

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 Marie Grefe was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 2019. Lisa had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) Insurance Agent; Investment Related; West Des Moines, IA; Licensed to sell life insurance, fixed and variable annuities, and accident and health insurance and may engage in product sales with clients; Start Date: 01/01/2020; 10 hours per month; 10 during trading hours. 2) PEO Chapter OH; Not Investment Related; Des Moines, IA; Member; No check writing capabilities. Women's philanthropic organization.; Start Date: 03/01/2019; 4 hrs per month; 0 during trading hours. 3) Can Play Board Member, Treasurer; January 2023-Present; 2 hours per quarter, 1 hour during trading hours per quarter. 4) Good Grefe, LLC; Not Investment Related; West Des Moines, IA; Owner; Provide soccer coaching for soccer clubs. Occasionally provide leadership and/or mindset/performance coaching for individuals; Start Date 01/01/2016; 10 hours per month; 0 during trading hours. 5) North High School; Not Investment Related; 2015 to Present; Soccer Coach; Seasonal Role, 30-49 hours a month during March, April and May; 1 hour per month during trading hours. 6) Grand View University; Not Investment Related: 2021 to Present; Soccer Coach; Seasonal Role, 5 hours per month during August, September and October; 0 hours during trading hours.

Blog Corner

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®

None

Experience

Past

May 11, 2023 - April 16, 2024

NORTHWEST WEALTH MANAGEMENT, LLC

RIA

CRD#: 152816

WEST DES MOINES, IA

Past

October 29, 2021 - April 12, 2023

BLACK MAMMOTH LLC

RIA

CRD#: 310508

WEST DES MOINES, IA

Past

October 28, 2019 - October 21, 2021

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

West Des Moines, IA

Past

September 13, 2019 - October 21, 2021

PRINCIPAL SECURITIES, INC.

CRD#: 1137

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".

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 10/25/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/7/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/6/2019

Securities Industry Essentials Examination

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1607 W. 18th Street, Spencer, IA 51301

Mailing Address

Phone number

(877) 207-0994

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts	4,063
AUM (Assets Under Management)	$ 865,221,987

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lisa M. Grefe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHWEST WEALTH MANAGEMENT, LLC

BLACK MAMMOTH LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

NORTHWEST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2019

Series 7TO

Date: 11/7/2022

SIE

Date: 4/6/2019

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors