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Detailed Report
LISA LEA MOSER MRS.
LISA LEA FOSTER, LISA LEA MOSER
CRD#: 4859467
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 210 W. JACKSON STREET
MORTON, IL 61550
Registration History
200620082010201220142016201820202022202420262 FIRMS2014 - Present (11 years)BCOMMERCE BROKERAGE SERVICES, INC. (CRD# 17140)2006 - 2012 (5 years)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2005 - 2006 (1 year)IACOMMERCE BROKERAGE SERVICES, INC (CRD# 17140)2008 - 2012 (4 years)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 7/1/2021
B
Iowa 1/14/2019
B
Arizona 9/25/2014
B
Kansas 2/6/2025
B
Arkansas 7/28/2022
B
Mississippi 9/20/2019
B
California 1/9/2025
B
Missouri 1/9/2025
B
Colorado 7/31/2018
B
North Carolina 7/21/2022
B
Florida 6/8/2015
B
Oregon 5/6/2019
IA
Illinois 1/2/2014
B
Texas 1/6/2020
B
Illinois 1/7/2014
IA
Texas 4/22/2020
B
Indiana 4/17/2014
B
Washington 3/25/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
210 W. JACKSON STREET, MORTON, IL 61550
Registered with this firm since 1/2/2014
B
LPL FINANCIAL LLC (CRD#:6413)
210 W. JACKSON STREET, MORTON, IL 61550
Registered with this firm since 1/7/2014
Previous Registration(s)
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IA
 07/09/2008 - 10/19/2012 COMMERCE BROKERAGE SERVICES, INC (CRD#:17140) PEORIA, IL
B
 11/28/2006 - 10/19/2012 COMMERCE BROKERAGE SERVICES, INC. (CRD#:17140) PEORIA, IL
IA
 06/14/2006 - 11/16/2006 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) MORTON, IL
B
 04/25/2005 - 11/16/2006 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) MORTON, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.