Lisa M. Slattery
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 Marie Slattery, who also goes by Lisa Marie Oyston, Lisa Slattery Oyston, Lisa Slattery Troy, Lisa Marie Wheller, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1983. Lisa had worked at 8 firms and has passed the Series 63, Series 55, Series 3, Series 7 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
November 10, 1997 - March 2, 2012
USAA INVESTMENT SERVICES COMPANY
July 6, 1995 - December 31, 1996
GROVE POINT INVESTMENTS, LLC
March 7, 1994 - July 7, 1995
A. G. EDWARDS & SONS, INC.
May 26, 1992 - March 8, 1994
VICTORIA SECURITIES CORPORATION
November 13, 1989 - January 2, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
October 4, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
May 17, 1983 - November 25, 1983
CITIGROUP GLOBAL MARKETS INC.
February 24, 1983 - May 9, 1983
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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 55
Date: 6/9/2000
Limited Representative-Equity Trader ExamCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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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