Lisa Kaess
Investment Adviser Representative at Stonex Advisors Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Lisa Kaess is an investment adviser representative with Stonex Advisors Inc. in Englewood Cliffs, NJ, where they have been registered since 2021, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in New Jersey and New York.
Registrations & licenses
- Investment adviser:
- New Jersey, New York
- Broker:
6 states and territories
Florida, Maryland, New Jersey, New York, Tennessee, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Atrium AdvisorsJan 2001 – no end date reportedNyack, NY
- Stonex Securities IncFeb 2021 – no end date reportedEnglewood Cliffs, NJ
- Stonex Advisors IncJul 2021 – no end date reportedEnglewood Cliffs, NJ
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Stonex Advisors Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- American Funds F2 - Under $250,0000.80%
- American Funds F2 - $250,000 or more0.55%
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 235
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Birmingham, AL
- SEC file number:
- 801-80747
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 17, 2026
View full firm profileOther advisors at Stonex Advisors Inc.
Showing 12 of 235 in the directory
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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 Kaess 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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