Lisa Kae Adams

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 12/2009 → 12/2017
  Sii Investments, Inc.
  Fond Du Lac, WI
• 12/2017 → Present
  Commonwealth Financial Network
  Waltham, MA

Previous Registrations

• 2009-12-14 → 2017-12-19
  Sii Investments, Inc.
  Fond Du Lac, WI
  Fond Du Lac, WI
  Appleton, WI
• 2005-06-21 → 2009-12-15
  Next Financial Group, Inc.
  Fond Du Lac, WI

Other Businesses

Fixed insurance sales; Located at N7640 County Road WH, Suite 900, Fond Du Lac, WI 54937, as of 12/19/2017; Approximately less than 1% Time spent during securities trading hours per month; Conducted at branch location; Investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-10-18
• S63 Uniform Securities Agent State Law Examination
  1990-05-14

Designations

• Certified Financial Planner

Other Names

• Lisa Kae Lindberg