Lisa Adams (CRD# 2042816) is an Investment Advisor Representative working at Commonwealth Financial Network in Fond Du Lac, WI and has over 33 years of experience in the finance industry. Lisa Adams has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 5809177
Osaic Wealth, Inc.
CRD# 2186552
Commonwealth Financial Network
CRD# 1487537
Northwestern Mutual Investment Services,llc
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Commonwealth Financial Network | Waltham, MA | Dec 2017 - Current | 6 |
| Sii Investments, Inc. | Fond Du Lac, WI | Dec 2009 - Dec 2017 | 8 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | May 1990 |
| S65 | NASAA Investment Advisors Law Examination | Oct 2005 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- WI
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Total Assets Under Management177,032MILLIONS
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Total Number of Accounts623,075ACCOUNTS
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Average Account Value$284,126
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
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