Lisa Esslinger has been Director of Branch Development/Partner of Western Wealth Management since September 2022, is a control person of the firm and directly owns between 25% and 50% of it.
Western Wealth Management LLC is a Golden, CO firm with $5.36B under management, 11,253 clients and 95 advisers across 41 offices, as of its June 2026 filing.
- LPL Financial LLC– · 1 yearGolden, CO · Adviser representative · Firm CRD 6413
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 3 September 2011 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 25 August 2009 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 1 June 2009 |
| Series 65 | Uniform Investment Adviser Law Examination | 12 August 2008 |
| Series 7 | General Securities Representative Examination | 31 January 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 March 2001 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 December 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Lisa Marie Esslinger
- CRD
- 3248989
- Firm
- Western Wealth Management · CRD 283545
- Role
- Director of Branch Development/Partner
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Lisa Esslinger work?
Lisa Esslinger has been Director of Branch Development/Partner of Western Wealth Management LLC since September 2022, and is a control person of the firm.
Does Lisa Esslinger have a current investment-adviser registration?
Lisa Esslinger has a current broker registration and no current investment-adviser registration.
What exams has Lisa Esslinger passed?
Lisa Esslinger has passed 7 licensing exams: the Series 6, Series 63, Series 7, Series 65, Series 9, Series 10 and Series 66. The earliest, the Series 6, was passed in December 2000. FINRA credited Lisa Esslinger with the SIE, which began in October 2018.
Where was Lisa Esslinger previously registered as an investment adviser?
Lisa Esslinger has past investment-adviser registrations through LPL Financial LLC, September 2011 to October 2012, across 1 firm.
Is Lisa Esslinger registered with FINRA?
Yes. Lisa Esslinger has a current broker registration, under CRD 3248989.
Source: FINRA BrokerCheck
How can I verify Lisa Esslinger’s record?
Search CRD 3248989 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Lisa Esslinger’s full registration record.
- Kara JettChief Compliance Officer
- Julie GaffneyDirector of Accounting & Registrations
- Benjamen RothwellDirector of RIA Compliance
- Caden RussellAdministrative Specialist & Partner