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Lisa-Ann Nouchi

LPL Financial LLC
33 Years of Experience
Vacaville, CA
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Lisa-Ann Nouchi is a registered investment advisor at LPL Financial LLC, based in Vacaville, CA, with 33 years of industry experience. Lisa-Ann 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
28221 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

400 Boyd St., Vacaville, CA, 95688

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History

Regulatory History (4)
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
June 2025
Settled
Regulatory
December 2006
Final
Employment Separation After Allegations
April 2004
Customer Dispute
July 2001
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Lisa-Ann is an agent for accident & health, life, and variable insurance products. This activity is investment-related.

Employment History
Current Registrations
LPL Financial LLCBroker
June 2025 - Present · 1 yr 4 mos
LPL Financial LLC
June 2025 - Present · 1 yr 4 mos
Previous Registrations
Western International Securities
September 2008 - June 2025 · 16 yrs 9 mos
Western International Securities, INC.Broker
May 2008 - June 2025 · 17 yrs 1 mo
First Allied Securities, INC.
August 2006 - June 2008 · 1 yr 10 mos
First Allied Securities, INC.Broker
July 2006 - June 2008 · 1 yr 11 mos
Investors Resources Group, INC.Broker
April 2004 - July 2006 · 2 yrs 3 mos
Investors Resources Group, INC.
April 2004 - November 2004 · 7 mos
UBS Financial Services INC.
June 2001 - May 2004 · 2 yrs 11 mos
UBS Financial Services INC.Broker
June 2001 - May 2004 · 2 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1993 - June 2001 · 7 yrs 10 mos
State Registrations27 states
ALAZCACOCTFLGAHIIDILINMIMNMOMTNVNYOKORPASCSDTXUTVAWAWI
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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Lisa-Ann Nouchi - Financial Advisor | TrueAdvisor