Lisa Roche-Berlage is a CFP-designated registered investment advisor, based in Charlotte, NC, with 18 years of industry experience.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Lisa is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation. This appears to be her primary employment.
Employment History
Current Registrations
Vanguard Marketing Corporation
August 2014 - Present · 11 yrs 9 mos
Vanguard Marketing CorporationBroker
August 2014 - Present · 11 yrs 9 mos
Vanguard Advisers, INC.
August 2014 - Present · 11 yrs 9 mos
Previous Registrations
Hewins Financial Advisors, LLC
July 2013 - June 2014 · 11 mos
Lcv Wealth Management, LTD.
November 2010 - September 2011 · 10 mos
Wipfli Hewins Investment Advisors LLC
November 2010 - August 2013 · 2 yrs 9 mos
Lcv Wealth Management, LTD.
August 2007 - November 2010 · 3 yrs 3 mos
State Registrations2 states
NCTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.