Lisa Aubel

Investment Adviser Representative at NAVY FEDERAL INVESTMENT SERVICES, LLC

San Diego, CACRD #1161423Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

29 yrs

States Registered

2 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 2 states

CaliforniaWashington

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 7/9/2018

Series 63

Uniform Securities Agent State Law Examination

Passed 4/25/1994

Series 9

General Securities Sales Supervisor - Options Module Examination

Passed 1/2/2023

Series 10

General Securities Sales Supervisor - General Module Examination

Passed 1/2/2023

Series 8

General Securities Sales Supervisor Examination (Options Module & General Module)

Passed 11/29/1994

Series 99TO

Operations Professional Examination

Passed 1/2/2023

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 3/7/1994

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Asset tier	Annual rate
First $250,000	1.07%
Next $250,000	1.00%
Next $500,000	0.91%
Next $1M	0.82%
Over $2M	0.68%

Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

NAVY FEDERAL INVESTMENT Services, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NAVY FEDERAL INVESTMENT SERVICES, LLCCurrent

6/1/2017 – San Diego, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

9/2/1998 – 12/15/1998NEW YORK, NY

BANC OF AMERICA INVESTMENT SERVICES, INC.

9/11/2000 – 3/16/2001BOSTON, MA

BA INVESTMENT SERVICES, INC.

8/6/1994 – 4/10/1996OAKLAND, CA

UBS FINANCIAL SERVICES INC.

8/30/2005 – 3/23/2011SANTA ROSA, CA

MORGAN STANLEY DW INC.

7/20/2001 – 8/8/2005PURCHASE, NY

WELLS FARGO ADVISORS, LLC

4/27/2011 – 10/16/2014SAN DIEGO, CA

CHARLES SCHWAB & CO., INC.

3/8/1994 – 7/25/1994WESTLAKE, TX

CORELINK FINANCIAL, INC.

2/27/1998 – 6/29/1998ST. CLOUD, MN

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

1/5/2015 – 1/4/2017LA JOLLA, CA

DEAN WITTER REYNOLDS INC.

1/27/1999 – 9/11/2000PURCHASE, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Lisa Aubel has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.