Lisa Bauer is a registered investment advisor, based in Moultrie, GA, with 22 years of industry experience.
Location
Moultrie, GA
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Regulatory History (1)
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Customer Dispute
October 2009Withdrawn
Other Business Activities
Lisa is a real estate agent with Coldwell Banker Platinum Partners since 2019. This takes about 10-20% of her time.
Employment History
Current Registrations
Cetera Advisors LLCBroker
September 2022 - Present · 3 yrs 8 mos
Cetera Investment Advisers LLC
November 2020 - Present · 5 yrs 6 mos
Previous Registrations
Ridge Capital Management, LLC
June 2017 - December 2021 · 4 yrs 6 mos
First Allied Advisory Services, INC.
April 2015 - November 2020 · 5 yrs 7 mos
First Allied Securities, INC.Broker
April 2015 - September 2022 · 7 yrs 5 mos
Suntrust Investment Services, INC.
May 2011 - April 2015 · 3 yrs 11 mos
Suntrust Investment Services, INC.Broker
April 2011 - April 2015 · 4 yrs
VALIC Financial Advisors, INC.
February 2008 - April 2011 · 3 yrs 2 mos
VALIC Financial Advisors, INC.Broker
February 2008 - April 2011 · 3 yrs 2 mos
Ameriprise Financial Services, INC.
August 2007 - February 2008 · 6 mos
Ameriprise Financial Services, INC.Broker
August 2007 - February 2008 · 6 mos
Suntrust Investment Services, INC.
April 2004 - August 2007 · 3 yrs 4 mos
Suntrust Investment Services, INC.Broker
March 2004 - August 2007 · 3 yrs 5 mos
Suntrust Securities, INC.
March 2003 - June 2003 · 3 mos
Suntrust Securities, INC.Broker
February 2003 - June 2003 · 4 mos
State Registrations2 states
FLGA
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.