Lisa A. Gill
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 A Gill, who also goes by Lisa Ayn Gill, Lisa Gill, Lisa A Mcvety, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2019. Lisa had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2025 - November 14, 2025
CETERA INVESTMENT SERVICES LLC
August 13, 2025 - November 14, 2025
CETERA INVESTMENT ADVISERS LLC
June 8, 2023 - July 17, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 2023 - July 17, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2022 - February 10, 2023
BANKOH INVESTMENT SERVICES, INC.
June 13, 2022 - February 10, 2023
BANKOH INVESTMENT SERVICES, INC.
September 28, 2021 - May 26, 2022
CITIGROUP GLOBAL MARKETS INC.
September 28, 2021 - May 26, 2022
CITIGROUP GLOBAL MARKETS INC.
August 11, 2020 - September 13, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 20, 2020 - September 10, 2021
FIDELITY BROKERAGE SERVICES LLC
August 5, 2019 - June 23, 2020
TD AMERITRADE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/5/2019
General Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 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.
