Lisa Chaffin Abbott

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2013 → Present
  Cadence Bank, N.A.
  Huntsville, AL
• 03/2014 → Present
  Lpl Financial Llc
  Huntsville, AL

Previous Registrations

• 2009-06-09 → 2013-03-22
  Wells Fargo Clearing Services, Llc
  Minneapolis, MN
  Charlotte, NC
  Birmingham, AL
  Huntsville, AL
  Huntsville, AL
  Birmingham, AL
  Huntsville, AL

Other Businesses

1. 9/30/2014 - CADENCE BANK - Investment Related - At Reported Business Location(s) - FINANCIAL INSTITUTION DUTY - TIME SPENT 70% 2. 9/30/2014 - CADENCE INVESTMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 3. 5/19/2020 - Leadership Greater Huntsville - Not Investment Related - 320 Pelham Avenue, Suite 402, Huntsville, AL 35801 - For-Profit Board Member - Start Date: 07/01/2020 - 4 Hours Per Month/0 Hours During Securities Trading. 4. 03/07/2024 - Other - Notary - Notary for the State of Alabama - Investment Related - At Reported Business Location(s) - Start Date 03/15/2013 - 1 Hour Per Month/ During Trading

Exams

• S66 Uniform Combined State Law Examination
  2009-06-08
• S63 Uniform Securities Agent State Law Examination
  2001-11-21

Other Names

• Lisa Gay Chaffin