LC
Lisa Cantu
GOELZER INVESTMENT MANAGEMENT
CARMEL, IN 46032
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CRD#: 7803874
LC
Professional summary
Lisa Cantu is a registered financial advisor currently at GOELZER INVESTMENT MANAGEMENT located in Carmel, Indiana.
Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Lisa has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Cantu'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
September 13, 2023 - Present
GOELZER INVESTMENT MANAGEMENT
Office #1: 10 East Main Street Suite 110, Carmel, IN 46032RIA
CRD#: 44402
CARMEL, IN
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".
GI
GOELZER INVESTMENT MANAGEMENT
GIM INVESTMENT SERVICES, INC. | GPRO | GOELZER INVESTMENT MANAGEMENT, INC. | GOELZER INVESTMENT MANAGEMENT
CRD#: 44402 / SEC#: 801-55588, 8-50682
RIA
Registered Investment Advisory firm - SEC (6/30/1998 Approved)BD
Terminated by SEC on 08/22/2015
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
Indiana(9/13/2023)
Current Firm
GI
GOELZER INVESTMENT MANAGEMENT
GIM INVESTMENT SERVICES, INC. | GPRO | GOELZER INVESTMENT MANAGEMENT, INC. | GOELZER INVESTMENT MANAGEMENT
CRD#: 44402 / SEC#: 801-55588, 8-50682
RIA
Registered Investment Advisory firm - SEC (6/30/1998 Approved)BD
Terminated by SEC on 08/22/2015
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Contact information
Main Address
10 East Main Street Suite 110, Carmel, IN 46032
Mailing Address
Phone number
(317) 264-2600
Established
Indiana since 10/16/1997
Firm type
Corporation
Fiscal year end
December
# of Employees
35
SEC notice filing (21 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FREIHOFER, LISA GOELZER | OWNER | |
| GOELZER, GREGORY WILLIAM | VICE CHAIRMAN AND CEO | 1040238 |
| GOELZER, SANDRA KAY | OWNER | |
| JOAN B GOELZER CREDIT SHELTER TR U/A DTD 1-17-1991 | OWNER | |
| MCKAMEY, BRETT DEAN | PRESIDENT AND COO | 1706545 |
| CONCANNON, JAMES ANDREW | OWNER | 1722214 |
| GOELZER EMPLOYEE STOCK OWNERSHIP PLAN | OWNER | |
| SMITH, NEAL ANDREW | OWNER | 2168145 |
| BUSH, JEFFREY ADAM | CHIEF COMPLIANCE OFFICER | 6157908 |
| RYNERSON, DEBRA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1741218 |
Regulatory assets under management
| Total Number of Accounts | 877 |
| AUM (Assets Under Management) | $ 3,846,550,007 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
