Lisa Ann Mccarthy

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

• 07/2015 → 01/2025
  Wayne Hummer Investments L.L.C.
  Chicago, IL
• 01/2025 → Present
  Lpl Financial Llc
  Fort Mill, SC

Previous Registrations

• 2016-01-04 → 2025-01-23
  Wintrust Investments Llc
  Wheaton, IL
  Chicago, IL
  Downers Grove, IL
  Western Springs, IL
  Wheaton, IL
• 2014-05-02 → 2015-07-31
  Lpl Financial Llc
  Glen Ellyn, IL

Other Businesses

1. 01/2025-WINTRUST INVESTMENTS- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 08/26/2024- 160 Hours Per Month- 160 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-05-02
• S63 Uniform Securities Agent State Law Examination
  2014-01-31

Other Names

• Lisa Ann Wokas