Lisa N. Caesar
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 Nicholle Caesar, who also goes by Lisa Nicholle Caesar Ms., Lisa Caesar, Lisa Nicholle Ridley, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1986. Lisa had worked at 7 firms and has passed the Series 63, SIE, 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
February 22, 2016 - March 7, 2017
ACQUIOM FINANCIAL LLC
July 12, 2011 - February 6, 2015
J.P. MORGAN SECURITIES LLC
March 3, 2009 - March 25, 2011
J.P. MORGAN SECURITIES LLC
September 5, 2001 - February 9, 2009
CITIGROUP GLOBAL MARKETS INC.
April 23, 1997 - October 3, 2000
LEHMAN BROTHERS INC.
March 24, 1995 - January 6, 1997
PEREGRINE BROKERAGE INC.
March 22, 1990 - July 21, 1994
LEHMAN GOVERNMENT SECURITIES INC.
June 17, 1988 - July 21, 1994
LEHMAN BROTHERS INC.
February 19, 1986 - June 23, 1986
MORGAN STANLEY & CO. LLC
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
ACQUIOM FINANCIAL LLC
CRD#: 170074 / SEC#: , 8-69408
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
