Lisa J. Henoch
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 Jean Henoch, who also goes by Lisa J Henoch, Lisa Jean Thomas, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1987. Lisa had worked at 10 firms and has passed the Series 66, Series 63, Series 7, Series 8 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
June 15, 2009 - May 27, 2010
BELLEVUE CHICAGO, LLC
June 7, 2007 - August 10, 2007
TD WATERHOUSE CAPITAL MARKETS, INC.
January 10, 2007 - September 26, 2013
TD AMERITRADE, INC.
January 10, 2007 - September 26, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 8, 2006 - August 2, 2007
NATIONAL INVESTOR SERVICES CORP.
November 8, 2006 - September 26, 2013
TD AMERITRADE, INC.
November 6, 2006 - September 26, 2013
TD AMERITRADE CLEARING, INC.
March 23, 1990 - April 23, 1990
OPPENHEIMER & CO. INC.
May 14, 1988 - July 9, 1988
LEHMAN BROTHERS INC.
April 18, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
January 21, 1987 - May 14, 1988
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 8
Date: 11/9/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BELLEVUE CHICAGO, LLC
CRD#: 106069 / SEC#: , 8-52991
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THINKORSWIM HOLDINGS INC. | OWNER | |
| BUNCH, JOHN BRADLEY | DIRECTOR | 1908764 |
| CHOCHON, MICHAEL DOUGLAS | CFO/FINOP | 3203736 |
| DAVIDSON, FELIX BEARD | VP, MANAGING DIRECTOR, OPERATIONS | 3061512 |
| GERBER, WILLIAM JOSEPH | DIRECTOR | 1769810 |
| GRADY, ANN MARIE | CHIEF COMPLIANCE OFFICER | 4505862 |
| SHERIDAN, SCOTT DANIEL | EXECUTIVE VICE PRESIDENT | 2420659 |
| SOSNOFF, TOM | EXECUTIVE VICE PRESIDENT | 704235 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
