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Lisa Noonan

Commonwealth Financial Network
27 Years of Experience
Rochester, NY
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Lisa Noonan is a registered investment advisor at Commonwealth Financial Network, based in Rochester, NY, with 27 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 Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

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

Location

290 Linden Oaks, Rochester, NY, 14625

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History

Regulatory History (2)
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
February 2011
Settled
Customer Dispute
January 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Lisa sells fixed insurance products, dedicating minimal time to this activity. She also owns Brilliant Shoal Advisors, a pass-through entity for securities, advisory, and insurance business, dedicating all of her time to it.

Employment History
Current Registrations
Commonwealth Financial NetworkBroker
December 2021 - Present · 4 yrs 10 mos
Commonwealth Financial Network
December 2021 - Present · 4 yrs 10 mos
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
February 2011 - December 2021 · 10 yrs 10 mos
Wells Fargo Advisors Financial Network, LLCBroker
February 2011 - December 2021 · 10 yrs 10 mos
Morgan Stanley Smith BarneyBroker
June 2009 - February 2011 · 1 yr 8 mos
Morgan Stanley Smith Barney LLC
June 2009 - February 2011 · 1 yr 8 mos
Morgan Stanley & CO. Incorporated
December 2007 - June 2009 · 1 yr 6 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
March 2003 - April 2007 · 4 yrs 1 mo
M&t Securities, INC.Broker
March 2000 - December 2002 · 2 yrs 9 mos
M&t Securities, INC.Broker
December 1998 - February 2000 · 1 yr 2 mos
State Registrations11 states
ALCADCFLMAMINCNYRISCVT
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 Noonan - Financial Advisor | TrueAdvisor