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Lisa Rizzo

LPL Financial LLC
43 Years of Experience
Littleton, CO
1 DisclosureBrokerSells Insurance
View SEC Summary
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Lisa Rizzo is a registered investment advisor at LPL Financial LLC, based in Littleton, CO, with 43 years of industry experience. Lisa is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28129 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Littleton, CO

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Lisa is a notary and spends minimal time on this activity. She also sells non-variable insurance and has a business entity for tax/investment purposes, each requiring minimal time.

Employment History
Current Registrations
LPL Financial LLCBroker
March 2022 - Present · 4 yrs 7 mos
LPL Financial LLC
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
First Financial Equity CorporationBroker
April 2009 - April 2022 · 13 yrs
First Financial Equity Corporation
April 2009 - April 2022 · 13 yrs
UBS Financial Services INC.Broker
August 2006 - May 2009 · 2 yrs 9 mos
UBS Financial Services INC.
August 2006 - May 2009 · 2 yrs 9 mos
Piper Jaffray & CO.Broker
September 2002 - August 2006 · 3 yrs 11 mos
Piper Jaffray & CO.
September 2002 - August 2006 · 3 yrs 11 mos
RBC Dain Rauscher INC.
January 1999 - September 2002 · 3 yrs 8 mos
RBC Dain Rauscher INC.Broker
March 1998 - September 2002 · 4 yrs 6 mos
Dain Rauscher IncorporatedBroker
November 1994 - March 1998 · 3 yrs 4 mos
Painewebber IncorporatedBroker
January 1992 - November 1994 · 2 yrs 10 mos
Kemper Securities Group, INC.Broker
September 1990 - January 1992 · 1 yr 4 mos
Boettcher & Company, INC.Broker
December 1987 - September 1990 · 2 yrs 9 mos
Integrated Resources Equity CorporationBroker
January 1987 - December 1987 · 11 mos
Hanifen, Imhoff INC.Broker
August 1985 - January 1987 · 1 yr 5 mos
Boettcher & Company, INC.Broker
January 1983 - August 1985 · 2 yrs 7 mos
State Registrations15 states
AKAZCACOGAIDILMIMTNCNENMTXWAWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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