Lisa M. Chaves
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 M Chaves, who also goes by Lisa M Chaves Ms., Lisa Chaves Gildred, Lisa Schulte, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1995. Lisa had worked at 5 firms and has passed the Series 63, 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
September 2, 2010 - September 13, 2013
MERCURY CAPITAL ADVISORS, LLC
February 5, 2010 - October 12, 2010
NIGHTHAWK PARTNERS INC.
October 6, 2009 - October 6, 2009
NIGHTHAWK PARTNERS INC.
September 4, 2003 - January 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 1998 - December 4, 1998
INTERACCIONES GLOBAL INC.
September 22, 1995 - March 9, 1998
DB ALEX. BROWN 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
MERCURY CAPITAL ADVISORS, LLC
CRD#: 152338 / SEC#: , 8-68442
Contact information
FINRA licenses (40 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
| Financial | 1 |
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.
