Lisa A. Kessler
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 Anne Kessler, who also goes by Lisa Anne Alvarado, Lisa Alvarado Scott, Lisa Anne Scott, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1983. Lisa had worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 42, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 1998 - October 13, 2021
KESSLER INVESTMENT ADVISORS INC
June 2, 1993 - December 13, 2021
KESSLER & COMPANY INVESTMENTS, INC.
March 11, 1993 - April 8, 1993
CITIGROUP GLOBAL MARKETS INC.
April 9, 1992 - January 12, 1993
CHARLES SCHWAB & CO., INC.
June 26, 1989 - February 28, 1990
J.P. MORGAN SECURITIES LLC
March 22, 1988 - October 12, 1988
TULLETT & TOKYO SECURITIES, INC.
May 17, 1986 - February 10, 1988
MORGAN STANLEY DW INC.
February 20, 1985 - April 3, 1985
CIBC WORLD MARKETS CORP.
May 2, 1984 - August 3, 1984
PRUDENTIAL EQUITY GROUP, LLC
June 22, 1983 - May 7, 1984
E. F. HUTTON & COMPANY 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationCurrent Firm
KESSLER INVESTMENT ADVISORS INC
CRD#: 106393 / SEC#: 801-47146
Contact information
Red Flags
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