Lisa Potts Bauer

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2020-11-12

GA RA
APPROVED

Since 2020-11-12

Branch Locations

Moultrie, GA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
First Allied Securiites, Inc.	San Diego	CA	04/2015	09/2022
First Allied Advisory Services, Inc.	Chesterfield	MO	04/2015	11/2020
Ridge Capital Management, Llc.	Woodstock	GA	06/2017	Present
First Allied Advisory Services	Schaumburg	IL	11/2020	11/2020
Cetera Advisors Llc	Moultrie	GA	09/2022	Present
Cetera Investment Advisers Llc	Schaumburg	IL	10/2020	Present

04/2015 → 09/2022

First Allied Securiites, Inc.

San Diego, CA
04/2015 → 11/2020

First Allied Advisory Services, Inc.

Chesterfield, MO
06/2017 → Present

Ridge Capital Management, Llc.

Woodstock, GA
11/2020 → 11/2020

First Allied Advisory Services

Schaumburg, IL
09/2022 → Present

Cetera Advisors Llc

Moultrie, GA
10/2020 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2017-06-13 → 2021-12-31

Ridge Capital Management, Llc

Alpharetta, GA
2015-04-29 → 2020-11-12

First Allied Advisory Services, Inc.

Brunswick, GA

St. Simons Island, GA

St. Simons Island, GA

St. Simons Island, GA
2011-05-31 → 2015-04-01

Truist Investment Services, Inc.

Saint Simons Island, GA

Brunswick, GA

Brunswick, GA

Saint Simons Island, GA

Brunswick, GA

Saint Simons Island, GA
2008-02-20 → 2011-04-25

Valic Financial Advisors, Inc.

Macon, GA
2007-08-08 → 2008-02-13

Ameriprise Financial Services, Llc

Brunswick, GA

Alpharetta, GA
2004-04-01 → 2007-08-14

Truist Investment Services, Inc.

Saint Simons Island, GA

Saint Simons Island, GA

Bruswick, GA

Brunswick, GA

Brunswick, GA

Brunswick, GA

Brunswick, GA

Brunswick, GA
2003-03-03 → 2003-06-27

Truist Investment Services, Inc.

St Simons Island, GA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-02-28

S66 Uniform Combined State Law Examination

2003-02-28

Other Names

Lisa Diane Potts
Lisa Potts Bauer
Lisa Potts Bauer
Lisa Bauer Paucar

View on SEC IAPD