Lisa C. Alexander
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 Cobb Alexander, who also goes by Lisa Ann Alexander, Lisa Ann Cobb, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1987. Lisa had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, 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
July 1, 2019 - March 8, 2021
VICTORY CAPITAL SERVICES, INC.
August 7, 2007 - December 4, 2013
USAA FINANCIAL ADVISORS, INC.
January 19, 2005 - July 1, 2019
USAA INVESTMENT SERVICES COMPANY
May 3, 1993 - July 1, 1994
CIBC WORLD MARKETS CORP.
May 1, 1991 - January 22, 1992
METLIFE INVESTORS DISTRIBUTION COMPANY
January 1, 1991 - May 8, 1991
UBS FINANCIAL SERVICES INC.
May 31, 1989 - January 1, 1991
ROTAN MOSLE INC.
August 18, 1987 - April 18, 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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
VICTORY CAPITAL SERVICES, INC.
CRD#: 37059 / SEC#: , 8-47577
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 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.
