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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

LISA P ZARKIN

Advisor at SEQUOIA WEALTH MANAGEMENT, LLC

BARRINGTON, IL | Naperville, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 28, 1998 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: SEQUOIA WEALTH MANAGEMENT, LLC
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: Oct 2, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Oct 2, 1991
First registration: Jan 28, 1998
Dual registered: yes, broker-dealer
Other names: LISA P CARAVA|LISA P CARAVA|LISA PAULINE BALLOTTI|LISA P BALLOTTI|LISA BALLOTTI
IAPD individual key: 2158487

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
SEQUOIA WEALTH MANAGEMENT, LLC	Independent wealth	May 9, 2017	n/a	yes	Naperville, IL\|BARRINGTON, IL	Current employment
STERLING PORTFOLIO ALLOCATION SERVICE INC	n/a	Sep 30, 1999	Dec 31, 2002	no	NAPERVILLE, IL	Previous registration
WATERSTONE FINANCIAL GROUP, INC.	n/a	Feb 17, 1998	Sep 8, 2009	no	NAPERVILLE, IL\|ITASCA, IL	Previous registration
HERITAGE CAPITAL MANAGEMENT INC	Former SEC adviser	Jan 28, 1998	Sep 22, 2006	no	NAPERVILLE, IL	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
WATERSTONE FINANCIAL GROUP, INC.	STERLING PORTFOLIO ALLOCATION SERVICE INC	Sep 8, 2009	Sep 30, 1999	-3,631	Firm change after gap	Other
HERITAGE CAPITAL MANAGEMENT INC	WATERSTONE FINANCIAL GROUP, INC.	Sep 22, 2006	Feb 17, 1998	-3,139	Firm change after gap	Other
STERLING PORTFOLIO ALLOCATION SERVICE INC	SEQUOIA WEALTH MANAGEMENT, LLC	Dec 31, 2002	May 9, 2017	5,243	Firm change after gap	Other

Relationships

Registered with (4)

→ SEQUOIA WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
May 9, 2017 to presentfactForm ADV
→ WATERSTONE FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Feb 17, 1998 to Sep 8, 2009factForm ADV
→ HERITAGE CAPITAL MANAGEMENT INCRegistered adviserregistration: previous registration
Jan 28, 1998 to Sep 22, 2006factForm ADV
→ STERLING PORTFOLIO ALLOCATION SERVICE INCRegistered adviserregistration: previous registration
Sep 30, 1999 to Dec 31, 2002factForm ADV

Dated events

No dated event names this entity yet.