Lisa Karen Heerwagen

Employer firm

Qp Wealth Management, LLC CRD 301071

$405M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Selection of other advisers
CONSULTING

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

Current Employers

Qp Wealth Management, Llc

2700 N Military Trail Suite 240, Boca Raton, FL 33431 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2022-02-16
NJ	RA	APPROVED	2019-05-14

FL RA
APPROVED

Since 2022-02-16
NJ RA
APPROVED

Since 2019-05-14

Branch Locations

Summerland Key, FL • United States

2700 N Military Trail Suite 240, Boca Raton, FL 33431 • 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
Morgan Stanley	Shrewsbury	NJ	06/2010	05/2019
Qp Wealth Management, Llc	Boca Raton	FL	05/2019	Present
Purshe Kaplan Sterling Investments	Albany	NY	05/2019	12/2021

06/2010 → 05/2019

Morgan Stanley

Shrewsbury, NJ
05/2019 → Present

Qp Wealth Management, Llc

Boca Raton, FL
05/2019 → 12/2021

Purshe Kaplan Sterling Investments

Albany, NY

Previous Registrations

2010-06-22 → 2019-05-14

Morgan Stanley

Shrewsbury, NJ
2007-03-16 → 2010-02-16

Rbc Capital Markets, Llc

Red Bank, NJ
2006-10-06 → 2007-03-26

Citigroup Global Markets Inc.

Shrewsbury, NJ

Other Businesses

1) QP WELATH MANAGEMENT, LLC. INVESTMENT RELATED BUSINESS. LOCATED AT 12 CHRISTOPHER WAY, SUITE 103, EATONTOWN, NJ 07724. RIA. TITLE IS CO-FOUNDER, COO, CCO. STARTED 05/2019. 175 HRS/MO DEVOTED DURING TRADING. DUTIES ARE COMPLIANCE AND OPERATING OFFICER, CLIENT SUPPORT.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-10-05

S66 Uniform Combined State Law Examination

2006-10-05

Other Names

Lisa Karen Braun

View on SEC IAPD