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Detailed Report
LISA MARIE ROCHE-BERLAGE
LISA MARIE ROCHE, LISA ROCHE WILSON
CRD#: 5353050
IA
Investment Adviser
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Broker
VANGUARD ADVISERS, INC.CRD#: 106715 2525 WATER RIDGE PARKWAY
ONE NORTH FALLS PLAZA
CHARLOTTE, NC 28217
VANGUARD MARKETING CORPORATIONCRD#: 7452 2525 WATER RIDGE PARKWAY
1 NORTH FALLS PLAZA, STE 100
CHARLOTTE, NC 28217
Registration History
20082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)IAHEWINS FINANCIAL ADVISORS, LLC (CRD# 109983)2013 - 2014 (<1 year)IAWIPFLI HEWINS INVESTMENT ADVIS... (CRD# 109972)2010 - 2013 (2 years)IALCV WEALTH MANAGEMENT, LTD. (CRD# 123805)2010 - 2011 (<1 year)IALCV WEALTH MANAGEMENT, LTD. (CRD# 123805)2007 - 2010 (3 years)
License(s)

State Registrations

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North Carolina 8/6/2014
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Texas 8/1/2014
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North Carolina 9/29/2014

SRO Registrations

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 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)
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VANGUARD MARKETING CORPORATION (CRD#:7452)
2525 WATER RIDGE PARKWAY 1 NORTH FALLS PLAZA, STE 100, CHARLOTTE, NC 28217
IRON STATION, NC
Registered with this firm since 8/18/2014
IA
VANGUARD ADVISERS, INC. (CRD#:106715)
2525 WATER RIDGE PARKWAY ONE NORTH FALLS PLAZA, CHARLOTTE, NC 28217
Registered with this firm since 8/1/2014
Previous Registration(s)
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 07/10/2013 - 06/30/2014 HEWINS FINANCIAL ADVISORS, LLC (CRD#:109983) MILWAUKEE, WI
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 11/01/2010 - 08/09/2013 WIPFLI HEWINS INVESTMENT ADVISORS LLC (CRD#:109972) SAN MATEO, CA
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 11/12/2010 - 09/26/2011 LCV WEALTH MANAGEMENT, LTD. (CRD#:123805) ROCKFORD, IL
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 08/13/2007 - 11/01/2010 LCV WEALTH MANAGEMENT, LTD. (CRD#:123805) ROCKFORD, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.