Lisa Keaton
Lisa Keaton is a CFP-designated registered investment advisor at Commonwealth Financial Network, based in Smithtown, NY, with 45 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 399,450 clients with $210B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Commonwealth Financial Network offers investment management through various programs like PPS Custom, PPS Select, and PPS Direct. Fees are generally calculated as a percentage of your portfolio, including cash and money market positions. The exact fees vary depending on the specific program and the agreement between you and your advisor.
Commonwealth generally offers two types of fee schedules: blended and breakpoint. With a blended schedule, different portions of your portfolio are charged at different rates. With a breakpoint schedule, the fee rate declines as your portfolio value reaches certain levels. All fees are negotiable between the advisor and client.
Location
50 Route 111, Suite 316, Smithtown, NY, 11787
Get directionsHistory
Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Lisa works as an agent selling fixed insurance under the name 'Capital Financial Planning'. This activity is investment-related.
Employment History
Current Registrations
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Previous Registrations
Capital Financial Planning, INC.
Walnut Street Securities, INC.Broker
Nathan & Lewis Securities, INC.
Nathan & Lewis Securities, INC.Broker
Empire National Securities, IncorporatedBroker
Ids Marketing CorporationBroker
Ids Life Insurance CompanyBroker
Ids/american Express INC.Broker
State Registrations22 states
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.