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LISA MARIE NESSER
LISA MARIE HAIK
CRD#: 1535393
IA
Investment Adviser
B
Broker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 300 14th Ave NE
Minneapolis, MN 55413
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 300 14th Ave NE
Minneapolis, MN 55413
Registration History
199019952000200520102015202020252 FIRMS2016 - Present (8 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2009 - 2016 (6 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 3600)1994 - 2009 (15 years)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)1991 - 1994 (3 years)BCENTURY INVESTORS OF AMERICA, INC. (CRD# 5322)1989 - 1990 (1 year)BOFFERMAN & CO., INC. (CRD# 345)1986 - 1989 (2 years)IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2013 - 2016 (2 years)
Disclosure(s)
View By:
10/9/2018
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/6/2025

B
Michigan 1/5/2022

B
California 4/8/2016

B
Minnesota 4/8/2016

B
Colorado 8/30/2021

IA
Minnesota 4/8/2016

B
Florida 4/8/2016

B
Nebraska 4/14/2016

B
Indiana 4/8/2016

B
Wisconsin 4/8/2016

B
Kansas 4/8/2016

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
300 14th Ave NE, Minneapolis, MN 55413
Registered with this firm since 4/8/2016

B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
300 14th Ave NE, Minneapolis, MN 55413
Registered with this firm since 4/8/2016

Previous Registration(s)
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IA
11/27/2013 - 04/23/2016 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) MINNEAPOLIS, MN
B
09/04/2009 - 04/23/2016 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) MINNEAPOLIS, MN
B
09/01/1994 - 09/04/2009 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) NEW BRIGHTON, MN
B
01/02/1991 - 05/06/1994 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) WAVERLY, IA
B
02/09/1989 - 12/31/1990 CENTURY INVESTORS OF AMERICA, INC. (CRD#:5322)
B
07/23/1986 - 02/09/1989 OFFERMAN & CO., INC. (CRD#:345) MINNEAPOLIS, MN
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.