Lisa Ann Aschenbeck

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Market timing

From the firm’s Form ADV. Read the guides:

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2010-01-04

TX RA
APPROVED

Since 2010-01-04

Branch Locations

Lago Vista, TX • 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
Cambridge Investment Research, Inc	Fairfield	IA	01/2010	Present
Cambridge Investment Research Advisors, Inc	Fairfield	IA	01/2010	Present

01/2010 → Present

Cambridge Investment Research, Inc

Fairfield, IA
01/2010 → Present

Cambridge Investment Research Advisors, Inc

Fairfield, IA

Previous Registrations

2006-08-21 → 2010-01-05

New England Securities

Kingwood, TX

Houston, TX

Spring, TX

Houston, TX
2004-07-19 → 2006-07-06

Thrivent Investment Management Inc.

Spring, TX

Houston, TX

Spring, TX

Other Businesses

1) TEXAN TREE DEPOT, PARTNER- NO INVOLVEMENT OF TREE FARM. 2) MELALEUCA, 4609 W 65TH S, IDAHO FALLS, SD, SINCE 8/2015. REP MAY RECEIVE FEE FOR REFERRING OTHER CUSTOMERS. NIR - 0 HRS. 3) INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-07-06

S66 Uniform Combined State Law Examination

2004-07-06

Other Names

Lisa Rysenga

View on SEC IAPD