Liesa A. Benn
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.
Liesa Ann Benn, who also goes by Liesa Benn Nichols, was a registered financial professional .
Liesa is a previously registered financial professional and started their career in finance in 1988. Liesa had worked at 4 firms and has passed the Series 63, Series 87 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
November 28, 2006 - April 30, 2013
MOFFAT CAPITAL, LLC
July 27, 2001 - September 19, 2005
TRUIST SECURITIES, INC.
February 1, 1999 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
January 19, 1988 - September 7, 1988
THE LAMBERT COMPANY
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
MOFFAT CAPITAL, LLC
CRD#: 125781 / SEC#: , 8-65820
Contact information
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.
