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 33 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.

Similar Advisors
John McNertney, financial advisor Napa CA
John T. McNertney
CRD# 2289402
Polaris Greystone Financial Group, LLC
Similar Advisors
Frances Harkins, financial advisor Napa CA
Frances E. Harkins
CRD# 4244859
North Capital
Similar Advisors
Brian Littlejohn, financial advisor Napa CA
Brian R. Littlejohn
CRD# 5895687
Sherwood Investment Management
Professional Designations
Company Name Location Dates Years
Lake Avenue Financial, LLC Napa, CA Oct 2015 - Current 2
Lpl Financial, LLC Napa, CA Sep 2015 - Current 2
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
  • Total Number of Accounts
  • Average Account Value
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


Ready to hire a financial advisor? Get competitive proposals from Lisa Seran and other advisors.
Clean Record
This advisor has a clean track record with regulators.

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.