Lisa Stern
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 Stern was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1985. Lisa had worked at 10 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2017 - December 12, 2017
HIGHBANK SECURITIES LLC
September 17, 2010 - September 29, 2017
DAK CAPITAL, LLC
July 10, 2008 - December 31, 2009
1ST WORLDWIDE FINANCIAL PARTNERS, LLC
March 14, 2008 - June 30, 2008
GROUPARGENT SECURITIES, LLC
October 1, 1999 - October 29, 1999
WELLS FARGO CLEARING SERVICES, LLC
February 18, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
February 7, 1997 - June 24, 1997
ALEX. BROWN & SONS INCORPORATED
November 6, 1995 - January 4, 1997
M. J. WHITMAN, INC.
August 2, 1991 - August 17, 1994
CITICORP SECURITIES, INC.
May 22, 1985 - July 9, 1987
MERCURY SECURITIES
State Registrations and Notice Filings
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Exams
Current Firm
HIGHBANK SECURITIES LLC
CRD#: 153796 / SEC#: , 8-68570
Contact information
Documents
Red Flags
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