Lisa Kay Comeau

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-05-09

FL RA
APPROVED

Since 2025-05-09

Branch Locations

1600 Town Commons Dr Ste 104, Howell, MI 48855 • United States

Northborough , MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Advisors Llc	St Cloud	MN	01/2013	10/2024
Cetera Investment Advisers Llc	Schaumburg	IL	03/2024	10/2024
Ameriprise Financial Services, Llc	Jacksonville	FL	04/2025	Present
Unemployed	Northborough	MA	11/2024	03/2025

01/2013 → 10/2024

Cetera Advisors Llc

St Cloud, MN
03/2024 → 10/2024

Cetera Investment Advisers Llc

Schaumburg, IL
04/2025 → Present

Ameriprise Financial Services, Llc

Jacksonville, FL
11/2024 → 03/2025

Unemployed

Northborough, MA

Previous Registrations

2024-03-21 → 2024-10-25

Cetera Investment Advisers Llc

Westborough, MA
2005-12-07 → 2024-03-21

Cetera Advisors Llc

Glastonbury, CT

Providence, RI

Greenwood Village, CO

Westborough, MA

Stuart, FL

Other Businesses

Outside Employment; Detroit Compliance; Compliance support; Manage advisory business; 1600 Town Commons Dr, Ste 104, Howell, MI, 48855; Investment-Related; 09/15/2025; 60 hours per month; 60 during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-10-20
S63	Uniform Securities Agent State Law Examination	1998-12-17

S65 Uniform Investment Adviser Law Examination

2005-10-20
S63 Uniform Securities Agent State Law Examination

1998-12-17

Other Names

Lisa Kay Alden
Lisa Kay Herrmann
Lisa Kay Alden
Lisa Kay Comeau
Lisa K Comeau

View on SEC IAPD