Bio

Lisa Grimes has worked in the financial services industry since 1989, and for Sanctuary Wealth and its predecessors since 1990, joining the Cooke Financial Group in 1991. She specializes in overall wealth management.

Lisa resides in Carmel, Indiana with her two children. They enjoy international and domestic travel.

Education

• B.A. in Finance – Indiana University Kelley School of Business

Community

• Board of Directors – Damar Foundation

Awards*

• Five Star Wealth Manager – 2018-2024 – Five Star Awards

Designations

• CFP® – CERTIFIED FINANCIAL PLANNER™ certification is the standard for financial planning. CFP® professionals complete rigorous education on dozens of topics including stocks, bonds, taxes, insurance, retirement planning, and estate planning. Individuals who hold CFP® have demonstrated competency in all areas of financial planning.

Licenses

• Series 3 – The Series 3 license, also known as the National Commodities Futures Examination (NCFE), is a qualification exam administered by FINRA required by the National Futures Association (NFA and the Commodity Futures Trading Commission (CFTC) for individuals seeking to work in the futures and options industry.
• Series 7 – The Series 7 is an exam and license that entitles the holder to sell all types of securities products except commodities and futures. The Series 7 exam covers topics on investment risk, taxation, equity and debt instruments, packaged securities, options, and retirement plans.
• Series 63 – The Series 63 is an exam and license that entitles the holder to solicit orders for any type of security in a particular state. The Series 63 exam covers topics on ethical practices and fiduciary obligations.
• Series 65 – The Series 65 license is a certification for individuals who wish to provide investment advice and analysis to clients. It's administered by FINRA and qualifies individuals as Investment Advisor Representatives (IARs) in states that require this certification. 
• Security Industry Essentials® (SIE®) – The Security Industry Essentials® (SIE®) is an exam and license that demonstrates fundamental knowledge of the securities industry. The SIE® exam covers topics on industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices.

* Award Disclosure: Results not guaranteed. Individual experience may vary.

Five Star Professional Wealth Manager Award (2018-2024), created by Five Star Professional. Most recently presented in September 2023 based on data gathered from November 2023 to May 2024. No fee was paid to be included in the ranking.