Lucy Cueller: Suitability Complaint Against Northpoint Advisor

Warrenville, Illinois financial advisor Lucy Cueller (CRD# 3089802) recently received an investor complaint alleging that she made unsuitable investment recommendations. Financial Industry Regulatory Authority records show that she is currently registered as a broker and an investment advisor with Osaic Wealth, doing business as Northpoint Financial Group.

Ms. Cueller’s BrokerCheck report discloses one recent investor complaint. Filed in February 2024, it alleges that as a representative of Woodbury Financial Services, she recommended unsuitable alternative investments, including real estate securities. The pending complaint alleges damages of at least $5,000.

Northpoint Financial Group’s website includes a profile of Ms. Cueller that describes her background and experience. “Her professional background also includes ten years with a large corporation, which included various financial analyst, accounting and operational positions,” the profile states. “This experience gives her the resources and expertise to custom design financial plans for the individual needs of her clients. Lucy also provides financial planning seminars to a variety of corporate organizations, women’s associations and other groups.”

According to the Financial Industry Regulatory Authority, Lucy Cueller holds 25 years of securities industry experience. Based in Warrenville, Illinois, she has been a broker and an investment advisor with Osaic Wealth since January 2024, doing business as Northpoint Financial Group. Her registration history includes Woodbury Financial Services (Warrenville, Illinois; 2002-2024) and WS Griffith Securities (Rosemont, Illinois and Hartford, Connecticut; 1998-2002). Her credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. She is licensed in Alabama, Florida, Georgia, Illinois, Indiana, Texas, and Wisconsin. (Information current as of March 24, 2024.)

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