Lisa T. Marx
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 Tine Marx, who also goes by Lisa Marx Mcguire, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1989. Lisa had worked at 1 firm and has passed the Series 63, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 1989 - October 4, 2013
HUGO MARX & CO INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 11/17/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
HUGO MARX & CO INC
CRD#: 7052 / SEC#: , 8-24062
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
