Lisa S. Fisher
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lisa Sue Fisher, who also goes by Lisa Sue Dotzenrod, Lisa Dotzenrod Fisher, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1981. Lisa had worked at 5 firms and has passed the Series 63, Series 65, Series 7, Series 6, Series 2 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2000 - December 31, 2002
PURISIMA SECURITIES, LLC
August 13, 1997 - October 30, 1998
FIRST FUND DISTRIBUTORS, INC.
July 8, 1997 - March 24, 2015
FISHER INVESTMENTS
June 22, 1983 - January 2, 1992
MORGAN STANLEY DW INC.
November 2, 1981 - May 2, 1983
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 2/6/1996
Non-Member General Securities ExaminationCurrent Firm
PURISIMA SECURITIES, LLC
CRD#: 47882 / SEC#: , 8-51937
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FISHER INVESTMENTS, INC. | OWNER | |
| TEUFEL, ANDREW SEVERIN | PRESIDENT AND TREASURER | 2707217 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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