Lisa Marie Passwater

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2022-05-09
TX	RA	APPROVED	2022-05-09

IL RA
APPROVED

Since 2022-05-09
TX RA
APPROVED

Since 2022-05-09

Branch Locations

211 Fulton Street Suite 500A, Peoria, IL 61602 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Peoria	IL	09/2016	04/2022
Unemployed/Medical Leave	Metamora	IL	02/2016	09/2016
Morgan Stanley	Peoria	IL	04/2022	Present

09/2016 → 04/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Peoria, IL
02/2016 → 09/2016

Unemployed/Medical Leave

Metamora, IL
04/2022 → Present

Morgan Stanley

Peoria, IL

Previous Registrations

2016-09-12 → 2022-04-21

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Peoria, IL
2015-09-18 → 2016-03-01

Wells Fargo Clearing Services, Llc

Springfield, IL
2008-01-09 → 2015-06-16

Northwestern Mutual Investment Services, Llc

Peoria, IL
2002-11-22 → 2006-09-06

A. G. Edwards & Sons, Inc.

Peoria, IL

Peoria, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-11-21

S66 Uniform Combined State Law Examination

2002-11-21

Other Names

Lisa Marie Rosencrans
Lisa Marie Passwater
Lisa M Passwater

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

LPL FINANCIAL LLC

REATHERFORD WEALTH MANAGEMENT LLC

OSAIC WEALTH, INC.

GUARDIAN WEALTH MANAGEMENT INC.

KESTRA ADVISORY SERVICES, LLC

MML INVESTORS SERVICES, LLC

Other Investors

ELIZABETH KARON MILLER

CAROLYN G DAVIS

TAMARA L THOMPSON

MARY JO MOEHLENHOF

Mark ALLAN Robben

BRIAN T ABRAHAM

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PEORIA, IL

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · PEORIA, IL

LPL FINANCIAL LLC · PEORIA, IL

REATHERFORD WEALTH MANAGEMENT LLC · PEORIA, IL

OSAIC WEALTH, INC. · PEORIA, IL

LPL FINANCIAL LLC · PEORIA, IL

GUARDIAN WEALTH MANAGEMENT INC. · PEORIA, IL

KESTRA ADVISORY SERVICES, LLC · Peoria, IL

More in Peoria, IL

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