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Lisamarie Lozon

Pinafore Wealth Counsel Inc.

Palm Beach Gardens, FL

Durham, NC

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Current Employers
Pinafore Wealth Counsel Inc.

3622 Lyckan Pkwy Ste 3004, Durham, NC 27707 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-08-12
MO RA APPROVED 2017-03-16
LA RA APPROVED 2014-09-22
NC RA APPROVED 2014-07-24
  • FL RA
    APPROVED
    Since 2021-08-12
  • MO RA
    APPROVED
    Since 2017-03-16
  • LA RA
    APPROVED
    Since 2014-09-22
  • NC RA
    APPROVED
    Since 2014-07-24

Branch Locations

3801 Pga Blvd Suite 600, Palm Beach Gardens, FL 33410 • United States

3622 Lyckan Pkwy Ste 3004, Durham, NC 27707 • 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
OrganizationCityStateFromTo
Pinafore Wealth Counsel, Inc. Chapel Hill NC 06/2014 Present
Lisamarie Enterprises Llc Fka Compassionate Advisor, Llc Chapel Hill NC 06/2012 Present
  • 06/2014 → Present
    Pinafore Wealth Counsel, Inc.
    Chapel Hill, NC
  • 06/2012 → Present
    Lisamarie Enterprises Llc Fka Compassionate Advisor, Llc
    Chapel Hill, NC
Previous Registrations
  • 2008-06-02 → 2008-12-31
    Morgan Keegan & Company, Llc
    Austin, TX
  • 2007-05-29 → 2008-01-24
    Citigroup Global Markets Inc.
    Austin, TX
    Austin, TX
    San Antonio, TX
    Austin, TX
  • 2006-02-28 → 2007-05-29
    Citicorp Investment Services
    Austin, TX
    Austin, TX
  • 2005-04-26 → 2006-02-28
    Nelson Financial, Llc
    Austin, TX
  • 2003-07-01 → 2005-01-07
    Wells Fargo Clearing Services, Llc
    Austin, TX
  • 1999-06-11 → 2003-07-01
    Prudential Equity Group, Llc
    Austin, TX
Other Businesses

LISAMARIE ENTERPRISES LLC FKA COMPASSIONATE ADVISOR, LLC/NON-INVESTMENT-RELATED/3801 PGA BLVD. SUITE# 600, PALM BEACH GARDENS, FLORIDA 33410/INTEGRAL LIFE COACH/MANAGING MEMEBER/STARTED 2012/ALLOCATES APPROXIMATELY 10% OF TIME PER MONTH

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-09
S63 Uniform Securities Agent State Law Examination 1997-07-31
  • S65 Uniform Investment Adviser Law Examination
    2014-01-09
  • S63 Uniform Securities Agent State Law Examination
    1997-07-31
Other Names
  • Lisamarie Smith
  • Lisa Marie Smith
  • Lisa Marie Nelson
  • Lisamarie Nelson

View on SEC IAPD

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