Lisa Seran, financial advisor Napa CA
96 score

Lisa Seran

CRD 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 31 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.

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Professional Designations
Company Name Location Dates Years
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
Contact Info for Lisa E. Seran
Phone Number: 866-528-3660
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    77
    MILLIONS
  • Total Number of Accounts
    573
    ACCOUNTS
  • Average Account Value
    $134,876
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
Types of Clients
Registered States

CA, NV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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