Lisa SeranCRD Number: 1173274
Current Firm: Lake Avenue Financial, LLC
Lisa Seran (CRD# 1173274) is an Investment Advisor Representative working at Lake Avenue Financial, LLC in Napa, CA and has over 32 years of experience in the finance industry. Lisa Seran 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.
Polaris Greystone Financial Group, LLC
Sherwood Investment Management
|Lake Avenue Financial, LLC||Napa, CA||Oct 2015 - Current||1|
|Lpl Financial, LLC||Napa, CA||Sep 2015 - Current||1|
|Cetera Advisors LLC||El Segundo, CA||Jan 2013 - Sep 2015||2|
|Multi-financial Securities Corporation||El Segundo, CA||Feb 2012 - Dec 2012||< 1|
|Pacific West Securities, Inc.||Renton, WA||Aug 2011 - Feb 2012||< 1|
|Ameriprise Financial Services Inc.||Napa, CA||May 2011 - Aug 2011||< 1|
|Pacific West Securities, Inc.||Renton, WA||Nov 2004 - May 2011||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1985|
|S65||NASAA Investment Advisors Law Examination||Jan 1994|
Total Assets Under Management77MILLIONS
Total Number of Accounts573ACCOUNTS
Average Account Value$134,876
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
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