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LISA P ZARKIN
LISA P BALLOTTI, LISA PAULINE BALLOTTI, LISA BALLOTTI, LISA P CARAVA
CRD#: 2158487
IA
Investment Adviser
B
Broker
SEQUOIA WEALTH MANAGEMENT, LLCCRD#: 170543 2252 Ferry Rd.
Unit 102
Naperville, IL 60563
LPL FINANCIAL LLCCRD#: 6413 NAPERVILLE, IL
Registration History
1995200020052010201520202025IASEQUOIA WEALTH MANAGEMENT, LLC (CRD# 170543)2017 - Present (7 years)BLPL FINANCIAL LLC (CRD# 6413)2009 - Present (15 years)BWATERSTONE FINANCIAL GROUP, INC. (CRD# 10078)1992 - 2009 (17 years)BLONG GROVE TRADING CO. (CRD# 10078)1992 - 1992 (<1 year)BWADDELL & REED, INC. (CRD# 866)1991 - 1992 (<1 year)IALPL FINANCIAL LLC (CRD# 6413)2009 - 2017 (7 years)IAWATERSTONE FINANCIAL GROUP, INC. (CRD# 10078)1998 - 2009 (11 years)IAHERITAGE CAPITAL MANAGEMENT INC (CRD# 110383)1998 - 2006 (8 years)IASTERLING PORTFOLIO ALLOCATION ... (CRD# 110796)1999 - 2002 (3 years)
Disclosure(s)
View By:
9/15/2015
Financial
Final
License(s)

State Registrations

B
Arizona 11/3/2014

B
Missouri 4/30/2021

B
California 2/24/2021

B
Nevada 7/31/2017

B
Florida 1/20/2010

B
New Jersey 3/17/2016

B
Georgia 2/24/2021

B
New York 2/27/2021

B
Illinois 9/8/2009

B
Oregon 3/16/2021

IA
Illinois 5/9/2017

B
Tennessee 10/25/2017

B
Indiana 7/12/2010

B
Texas 2/24/2021

B
Maryland 2/24/2021

B
Virginia 2/25/2021

B
Michigan 3/26/2021

B
Washington 2/24/2021

B
Minnesota 3/10/2021

B
Wisconsin 4/8/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SEQUOIA WEALTH MANAGEMENT, LLC (CRD#:170543)
2252 Ferry Rd. Unit 102, Naperville, IL 60563
Registered with this firm since 5/9/2017

B
LPL FINANCIAL LLC (CRD#:6413)
NAPERVILLE, IL
Registered with this firm since 9/8/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/08/2009 - 08/21/2017 LPL FINANCIAL LLC (CRD#:6413) Naperville, IL
IA
02/17/1998 - 09/08/2009 WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078) NAPERVILLE, IL
B
03/24/1992 - 09/08/2009 WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078) NAPERVILLE, IL
IA
01/28/1998 - 09/22/2006 HERITAGE CAPITAL MANAGEMENT INC (CRD#:110383) NAPERVILLE, IL
IA
09/30/1999 - 12/31/2002 STERLING PORTFOLIO ALLOCATION SERVICE INC (CRD#:110796) NAPERVILLE, IL
B
02/07/1992 - 03/02/1992 LONG GROVE TRADING CO. (CRD#:10078)
B
11/01/1991 - 02/10/1992 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
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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.