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RIA / WealthAdvisor29 years in industry

LISAMARIE LOZON

Advisor at PINAFORE WEALTH COUNSEL INC.

DURHAM, NC | Palm Beach Gardens, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 11, 1999 to Sep 15, 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: PINAFORE WEALTH COUNSEL INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 31, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 4
Exams: S65|S63
First exam: Jul 31, 1997
First registration: Jun 11, 1999
Dual registered: no
Other names: LISAMARIE SMITH|LISA MARIE SMITH|LISA MARIE NELSON|LISAMARIE NELSON
IAPD individual key: 2915086

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
PINAFORE WEALTH COUNSEL INC.	Independent wealth	Jul 24, 2014	n/a	yes	Palm Beach Gardens, FL\|DURHAM, NC	Current employment
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Jun 2, 2008	Dec 31, 2008	no	AUSTIN, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Jan 24, 2008	no	AUSTIN, TX\|AUSTIN, TX\|SAN ANTONIO, TX\|AUSTIN, TX	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Feb 28, 2006	May 29, 2007	no	AUSTIN, TX\|AUSTIN, TX	Previous registration
NELSON FINANCIAL, LLC	n/a	Apr 26, 2005	Feb 28, 2006	no	AUSTIN, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Jan 7, 2005	no	AUSTIN, TX	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jun 11, 1999	Jul 1, 2003	no	AUSTIN, TX	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
MORGAN KEEGAN & COMPANY, LLC	PINAFORE WEALTH COUNSEL INC.	Dec 31, 2008	Jul 24, 2014	2,031	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN KEEGAN & COMPANY, LLC	Jan 24, 2008	Jun 2, 2008	130	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	0	Bulk transfer	Other
NELSON FINANCIAL, LLC	CITICORP INVESTMENT SERVICES	Feb 28, 2006	Feb 28, 2006	0	Firm change	Other
WELLS FARGO ADVISORS	NELSON FINANCIAL, LLC	Jan 7, 2005	Apr 26, 2005	109	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (7)

→ PINAFORE WEALTH COUNSEL INC.Registered adviserregistration: current employment
Jul 24, 2014 to presentfactForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Jun 2, 2008 to Dec 31, 2008factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to Jan 24, 2008factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Feb 28, 2006 to May 29, 2007factForm ADV
→ NELSON FINANCIAL, LLCRegistered adviserregistration: previous registration
Apr 26, 2005 to Feb 28, 2006factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Jan 7, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jun 11, 1999 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.