Lisa C. Bushue
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 Champlin Bushue, who also goes by Lisa Anne Champlin, Lisa Champlin Vanderbeek, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1984. Lisa had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 53 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
May 24, 2022 - August 7, 2023
FROST INVESTMENT SERVICES
September 9, 2011 - August 7, 2023
FROST BROKERAGE SERVICES, INC.
August 7, 2008 - November 5, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 26, 2007 - August 5, 2008
WELLS FARGO SECURITIES, LLC
January 25, 1984 - November 26, 2007
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
