Lisa G. Sweeney
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 Garrison Sweeney, who also goes by Lisa J Garrison, Lisa Joan Garrison, Lisa G Sweeney, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1987. Lisa had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2017 - June 20, 2025
HAVERFORD TRUST SECURITIES, INC.
March 7, 2016 - July 28, 2017
UBS FINANCIAL SERVICES INC.
June 15, 2015 - July 28, 2017
UBS FINANCIAL SERVICES INC.
February 2, 2000 - February 19, 2003
COMMUNICATIONS EQUITY ASSOCIATES, LLC
July 12, 1996 - November 25, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 1994 - December 8, 1995
HAVERFORD TRUST SECURITIES, INC.
May 8, 1992 - December 31, 1992
HAVERFORD TRUST SECURITIES, INC.
October 28, 1989 - January 7, 1992
CHARLES SCHWAB & CO., INC.
May 21, 1987 - October 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
HAVERFORD TRUST SECURITIES, INC.
CRD#: 13214 / SEC#: , 8-37730
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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