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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

LISA ANNE NOONAN

Advisor at COMMONWEALTH FINANCIAL NETWORK

ROCHESTER, NY

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Search this name across graphsid dfx:ria:23633708-ecfb-ae2d-72f6-97cd14af8f0f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 4, 2007 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: COMMONWEALTH FINANCIAL NETWORK
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 30, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 30, 1998
First registration: Dec 4, 2007
Dual registered: yes, broker-dealer
Other names: LISA ANNE MCCONNELL|LISA ANNE AQUINO
IAPD individual key: 3140844

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
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Dec 3, 2021	n/a	yes	ROCHESTER, NY	Current employment
WELLS FARGO ADVISORS	Wirehouse	Feb 4, 2011	Dec 8, 2021	no	FAIRPORT, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 11, 2011	no	Rochester, NY	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Dec 4, 2007	Jun 1, 2009	no	ROCHESTER, NY	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
WELLS FARGO ADVISORS	COMMONWEALTH FINANCIAL NETWORK	Dec 8, 2021	Dec 3, 2021	-5	Firm change	Wirehouse to ibd
MORGAN STANLEY	WELLS FARGO ADVISORS	Feb 11, 2011	Feb 4, 2011	-7	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: current employment
Dec 3, 2021 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 4, 2011 to Dec 8, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 11, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Dec 4, 2007 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.