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Lisa Estelle Harwood

Ventura Advisors

Woodland Hills, CA

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Current Employers
Ventura Advisors

21860 Burbank Blvd., Suite 100, Woodland Hills, CA 91367 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-01-01
  • CA RA
    APPROVED
    Since 2012-01-01

Branch Locations

21860 Burbank Blvd., Suite 100, Woodland Hills, CA 91367 • 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
OrganizationCityStateFromTo
Ventura Advisors Woodland Hills CA 01/2012 Present
Citizens Business Bank Pasadena CA 07/2012 06/2022
Montecito Bank And Trust Montecito CA 07/2022 03/2024
  • 01/2012 → Present
    Ventura Advisors
    Woodland Hills, CA
  • 07/2012 → 06/2022
    Citizens Business Bank
    Pasadena, CA
  • 07/2022 → 03/2024
    Montecito Bank And Trust
    Montecito, CA
Previous Registrations
  • 2001-07-20 → 2005-07-26
    Wells Fargo Investments, Llc
    Beverly Hills, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-28
S63 Uniform Securities Agent State Law Examination 1998-04-24
  • S65 Uniform Investment Adviser Law Examination
    2011-12-28
  • S63 Uniform Securities Agent State Law Examination
    1998-04-24
Designations
Other Names
  • Lisa Estelle Cornwall
  • Lisa Estella Cornwall
  • Lisa Cornwall Tess
  • Lisa Estelle Cornwall

View on SEC IAPD

Other Firms

MERCER GLOBAL ADVISORS INC.
INDEPENDENT FINANCIAL GROUP, LLC
LPL FINANCIAL LLC
LINCOLN INVESTMENT
STATE FARM INVESTMENT MANAGEMENT CORP.
CITIGROUP GLOBAL MARKETS INC.
CHELSEA MANAGEMENT COMPANY
U.S. BANCORP ADVISORS, LLC

Other Investors

MICHAEL WILLIAM JOHNS
STEWART E SCHRADER
Daniel Polyakov
Carol Ann Casebolt
Homer Jonathan Reed Wilson
JAMES MATTHEW PATTON
JEFFREY ALAN HARWOOD
Nicole Cardenas

Other Offices

MERCER GLOBAL ADVISORS INC. · Woodland Hills, CA
INDEPENDENT FINANCIAL GROUP, LLC · Woodland Hills, CA
LPL FINANCIAL LLC · WOODLAND HILLS, CA
LINCOLN INVESTMENT · WOODLAND HILLS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Woodland Hills, CA
CITIGROUP GLOBAL MARKETS INC. · Woodland Hills, CA
CHELSEA MANAGEMENT COMPANY · WOODLAND HILLS, CA
U.S. BANCORP ADVISORS, LLC · Woodland Hills, CA

More in Woodland Hills, CA

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