Lisamarie Lozon has been an investment adviser representative at Pinafore Wealth Counsel since July 2014, and is not listed among the firm’s executive officers or direct owners.
Pinafore Wealth Counsel Inc. is a Durham, NC firm with $174M under management, 105 clients and 2 advisers across 2 offices, as of its February 2026 filing.
LisaMarie Lozon is Co-Founder of Pinafore Wealth Counsel. Her experience includes 20+ years in advising individuals and families through the complexities of wealth counsel and asset management. Lozon serves on the Board of the Dispute Settlement Center.
Lisamarie Lozon’s longest registration is the current one, 12 years at Pinafore Wealth Counsel since 2014. Before joining Pinafore Wealth Counsel in 2014, Lisamarie Lozon was registered through Morgan Keegan & Company, Inc. and Citigroup Global Markets Inc.
- Pinafore Wealth Counsel Inc.Current– present · 12 yearsPalm Beach Gardens, FL · Adviser representative · Firm CRD 170540
- Morgan Keegan & Company, Inc.– · under a yearAustin, TX · Adviser representative · Firm CRD 4161
- Citigroup Global Markets Inc.– · under a yearAustin, TX · Adviser representative · Firm CRD 7059
- Citicorp Investment Services– · 1 yearAustin, TX · Adviser representative · Firm CRD 23988
- Nelson Financial, LLC– · under a yearAustin, TX · Adviser representative · Firm CRD 134273
- Wachovia Securities, LLC– · 1 yearAustin, TX · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · 4 yearsAustin, TX · Adviser representative · Firm CRD 7471
Professional designations
Listed by Pinafore Wealth Counsel
- CIMA®
- CeFT®
- CDFA®
Investment adviser representative registrations
Lisamarie Lozon is registered as an investment adviser representative in 4 states. The first approvals date from July 2014; the most recent is Florida, in August 2021.
- FloridaSince 12 August 2021
- LouisianaSince 22 September 2014
- MissouriSince 16 March 2017
- North CarolinaSince 24 July 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 9 January 2014 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 July 1997 |
| Series 7 | General Securities Representative Examination | 28 July 1997 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 2915086
- Firm
- Pinafore Wealth Counsel · CRD 170540
- Office
- 3801 PGA Blvd, Suite 600, Palm Beach Gardens, FL 33410
- Registration
- Investment adviser registration
- In the industry since
- August 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- pinaforewealth.com
Where does Lisamarie Lozon work?
Lisamarie Lozon is an investment adviser representative registered through Pinafore Wealth Counsel Inc. since July 2014, and is not listed among the firm’s executive officers or direct owners.
Is Lisamarie Lozon a financial advisor?
Yes. Lisamarie Lozon has a current investment-adviser registration in Florida, Louisiana, Missouri and North Carolina, through Pinafore Wealth Counsel since July 2014.
How many years of experience does Lisamarie Lozon have?
Lisamarie Lozon has 21 years in the financial industry, since August 2005, across 7 adviser firms.
What exams has Lisamarie Lozon passed?
Lisamarie Lozon has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in July 1997.
Where did Lisamarie Lozon work before Pinafore Wealth Counsel?
Before Pinafore Wealth Counsel, Lisamarie Lozon was registered through Morgan Keegan & Company, Inc., June 2008 to December 2008; Citigroup Global Markets Inc., May 2007 to January 2008; Citicorp Investment Services, February 2006 to May 2007; Nelson Financial, LLC, April 2005 to February 2006; Wachovia Securities, LLC, July 2003 to January 2005; Prudential Securities Incorporated, June 1999 to July 2003.
Where is Lisamarie Lozon based?
Lisamarie Lozon’s registered office is in Palm Beach Gardens, FL.
Is Lisamarie Lozon registered with FINRA?
No. Lisamarie Lozon has no current broker registration.
How can I verify Lisamarie Lozon’s record?
Search CRD 2915086 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Lisamarie Lozon’s full registration record.