Lisa M. Walsh
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 Mary Walsh, who also goes by Lisa Walsh Hill, Lisa Walsh Hill, Lisa M Walsh, Lisa Walsh, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1987. Lisa had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2023 - September 11, 2024
VANGUARD ADVISERS, INC.
February 23, 2023 - September 11, 2024
VANGUARD MARKETING CORPORATION
March 11, 2003 - July 9, 2004
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
June 21, 1999 - August 8, 2002
CHASE INVESTMENT SERVICES CORP.
April 10, 1996 - October 23, 1997
PREFERREDTRADE, INC.
September 6, 1995 - March 28, 1996
WELLS FARGO CLEARING SERVICES, LLC
March 27, 1990 - June 13, 1995
CAPIS
October 11, 1988 - March 1, 1990
RAUSCHER PIERCE REFSNES, INC.
April 24, 1987 - October 12, 1988
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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 7TO
Date: 2/23/2023
General Securities Representative ExaminationSeries 8
Date: 4/7/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
