Best Investors Account Sign in

Lisa Marie Adams

Merrill Lynch, Pierce, Fenner & Smith Incorporated

West Des Moines, IA

New York, NY

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-06-16
IA RA APPROVED 2025-05-15
  • TX RA
    APPROVED
    Since 2025-06-16
  • IA RA
    APPROVED
    Since 2025-05-15

Branch Locations

7545 Ashworth Rd, West Des Moines, IA 50266 • United States

One Bryant Park, New York, NY 10036 • 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
Rbc Capital Markets Corporation Minnetonka MN 03/2008 09/2018
Rbc Capital Markets, Llc Palm Beach Gardens FL 07/2019 03/2020
Rbc Capital Markets, Llc New York NY 03/2020 03/2025
Rbc Capital Markets, Llc West Palm Beach FL 09/2018 07/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated West Des Moines IA 03/2025 Present
Previous Registrations
  • 2017-07-12 → 2025-03-21
    Rbc Capital Markets, Llc
    Edina, MN
    Edina, MN
    Minnetonka, MN
    West Palm Beach, FL
    Palm Beach Gardens, FL
    Minneapolis, MN
    Clive, IA
    New York, NY
    Chevy Chase, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-07-12
S63 Uniform Securities Agent State Law Examination 1998-05-13
  • S65 Uniform Investment Adviser Law Examination
    2017-07-12
  • S63 Uniform Securities Agent State Law Examination
    1998-05-13
Other Names
  • Lisa Marie Adams
  • Lisa Marie Adams
  • Lisa Marie Jamesweather
  • Lisa Marie Jamesweathers

View on SEC IAPD

Other Firms

PRINCIPAL SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
FOSTER GROUP, INC.
KSA PARTNERS, LLC
LPL FINANCIAL LLC
ARETE WEALTH ADVISORS, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
PARK AVENUE SECURITIES LLC

Other Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE
EDDIE RAY COLEMAN
JAMES LAWRENCE LUMLEY
CONOR J BOFFELI
Signe Olson
ANDREW JAY HIMELSON

Other Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA
FOSTER GROUP, INC. · WEST DES MOINES, IA
KSA PARTNERS, LLC · WEST DES MOINES, IA
LPL FINANCIAL LLC · WEST DES MOINES, IA
ARETE WEALTH ADVISORS, LLC · WEST DES MOINES, IA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WEST DES MOINES, IA

More in West Des Moines, IA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor