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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

Lisa-Ann Tomiko Nouchi

Advisor at LPL FINANCIAL LLC

VACAVILLE, CA | WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:d9f74d30-8f59-476f-ccb3-f68edde2d495

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 21, 2001 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: LPL FINANCIAL 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: Sep 9, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 7
Exams: S63|S65
First exam: Sep 9, 1993
First registration: Jun 21, 2001
Dual registered: yes, broker-dealer
Other names: Lisa Nouchi|Lisa-Ann T. Nouchi
IAPD individual key: 2367719

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
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 5, 2025	n/a	yes	VACAVILLE, CA\|WALNUT CREEK, CA	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Sep 4, 2008	Jun 5, 2025	no	PASADENA, CA\|SACRAMENTO, CA\|Vacaville, CA\|Sacramento, CA\|Vacaville, CA\|Campbell, CA	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Aug 23, 2006	Jun 6, 2008	no	SAN DIEGO, CA\|SACRAMENTO, CA	Previous registration
INVESTORS RESOURCES GROUP, INC.	n/a	Apr 13, 2004	Nov 16, 2004	no	SACRAMENTO, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 21, 2001	May 10, 2004	no	SACRAMENTO, CA	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
WESTERN INTERNATIONAL SECURITIES	LPL FINANCIAL LLC	Jun 5, 2025	Jun 5, 2025	0	Bulk transfer	Ibd to ibd
FIRST ALLIED SECURITIES, INC.	WESTERN INTERNATIONAL SECURITIES	Jun 6, 2008	Sep 4, 2008	90	Firm change	Other
INVESTORS RESOURCES GROUP, INC.	FIRST ALLIED SECURITIES, INC.	Nov 16, 2004	Aug 23, 2006	645	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	INVESTORS RESOURCES GROUP, INC.	May 10, 2004	Apr 13, 2004	-27	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Sep 4, 2008 to Jun 5, 2025factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Aug 23, 2006 to Jun 6, 2008factForm ADV
→ INVESTORS RESOURCES GROUP, INC.Registered adviserregistration: previous registration
Apr 13, 2004 to Nov 16, 2004factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 21, 2001 to May 10, 2004factForm ADV

Dated events

No dated event names this entity yet.