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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

LISA Potts Bauer

Advisor at CETERA INVESTMENT ADVISERS LLC

MOULTRIE, GA

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Search this name across graphsid dfx:ria:0a0924b4-b9f5-8b58-e8a4-4d771711d8a5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 3, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 28, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 28, 2003
First registration: Mar 3, 2003
Dual registered: yes, broker-dealer
Other names: LISA DIANE POTTS|LISA POTTS BAUER|LISA POTTS BAUER|LISA BAUER PAUCAR
IAPD individual key: 4589837

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 12, 2020	n/a	yes	MOULTRIE, GA	Current employment
RIDGE CAPITAL MANAGEMENT, LLC	Independent wealth	Jun 13, 2017	Dec 31, 2021	no	Alpharetta, GA	Previous registration
FIRST ALLIED ADVISORY SERVICES, INC.	Former SEC adviser	Apr 29, 2015	Nov 12, 2020	no	BRUNSWICK, GA\|St. Simons Island, GA\|St. Simons Island, GA\|St. Simons Island, GA	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	May 31, 2011	Apr 1, 2015	no	SAINT SIMONS ISLAND, GA\|BRUNSWICK, GA\|BRUNSWICK, GA\|SAINT SIMONS ISLAND, GA\|BRUNSWICK, GA\|SAINT SIMONS ISLAND, GA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Feb 20, 2008	Apr 25, 2011	no	MACON, GA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 8, 2007	Feb 13, 2008	no	BRUNSWICK, GA\|ALPHARETTA, GA	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Apr 1, 2004	Aug 14, 2007	no	SAINT SIMONS ISLAND, GA\|SAINT SIMONS ISLAND, GA\|BRUSWICK, GA\|BRUNSWICK, GA\|BRUNSWICK, GA\|BRUNSWICK, GA\|BRUNSWICK, GA\|BRUNSWICK, GA	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Mar 3, 2003	Jun 27, 2003	no	ST SIMONS ISLAND, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RIDGE CAPITAL MANAGEMENT, LLC	CETERA INVESTMENT ADVISERS LLC	Dec 31, 2021	Nov 12, 2020	-414	Firm change after gap	RIA to ibd
FIRST ALLIED ADVISORY SERVICES, INC.	RIDGE CAPITAL MANAGEMENT, LLC	Nov 12, 2020	Jun 13, 2017	-1,248	Firm change after gap	Ibd to RIA
SUNTRUST INVESTMENT SERVICES, INC.	FIRST ALLIED ADVISORY SERVICES, INC.	Apr 1, 2015	Apr 29, 2015	28	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	SUNTRUST INVESTMENT SERVICES, INC.	Apr 25, 2011	May 31, 2011	36	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	VALIC FINANCIAL ADVISORS, INC.	Feb 13, 2008	Feb 20, 2008	7	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 14, 2007	Aug 8, 2007	-6	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
137888:127200:GA:2020-11-12	Nov 12, 2020	Jun 13, 2017	ST SIMONS ISLAND, GA	Firm change after gap

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ RIDGE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 13, 2017 to Dec 31, 2021factForm ADV
→ FIRST ALLIED ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Apr 29, 2015 to Nov 12, 2020factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 31, 2011 to Apr 1, 2015factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Feb 20, 2008 to Apr 25, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 8, 2007 to Feb 13, 2008factForm ADV

Dated events

No dated event names this entity yet.