Lisa G. Mrozek
Professional summary
Lisa Graham Mrozek, who also goes by Lisa King Graham, Lisa Graham Hathaway, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Pasadena, California.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1985. Lisa has worked at 7 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Graham Mrozek's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2005 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 385 E. Colorado Blvd, Pasadena, CA 91101September 30, 2003 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
August 11, 2001 - September 30, 2003
HOWARD WEIL INCORPORATED
September 4, 1999 - August 11, 2001
ARROYO SECO, INC.
June 6, 1991 - February 10, 1999
CAPITAL CLIENT GROUP, INC.
February 21, 1986 - March 20, 1989
JOHNSTON, LEMON & CO. INCORPORATED
August 5, 1985 - September 9, 1985
FORESTERS FINANCIAL SERVICES, 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
(12/1/2005)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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