Lisa Potts Bauer
Investment Adviser Representative at Cetera Investment Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Lisa Potts Bauer is an investment adviser representative with Cetera Investment Advisers LLC in Moultrie, GA, where they have been registered since 2020. They have worked in the securities industry since 2003 and have been registered with 7 firms, including Ridge Capital Management, LLC and First Allied Advisory Services, Inc. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 26 (investment company and variable products principal). They are registered to provide investment advice in Georgia.
Registrations & licenses
- Investment adviser:
- Georgia
- Broker:
2 states and territories
Florida, Georgia
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.
- First Allied Securiites, Inc.Apr 2015 – Sep 2022San Diego, CA
- First Allied Advisory Services, Inc.Apr 2015 – Nov 2020Chesterfield, MO
- Ridge Capital Management, LLC.Jun 2017 – no end date reportedWoodstock, GA
- First Allied Advisory ServicesNov 2020 – Nov 2020Schaumburg, IL
- Cetera Advisors LLCSep 2022 – no end date reportedMoultrie, GA
- Cetera Investment Advisers LLCOct 2020 – no end date reportedSchaumburg, IL
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Cetera Investment Advisers LLC
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
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
Advisory services, investment advisory services, custody services, insurance agency services, sweep programs, and retirement planning resources, along with access to registered and alternative investment products.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 10,459
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Schaumburg, IL
- SEC file number:
- 801-20406
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 13, 2026
View full firm profileOther advisors at Cetera Investment Advisers LLC
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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 Potts Bauer 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.
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