Lisa M. Falcone
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 Marie Falcone was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2000. Lisa had worked at 4 firms and has passed the Series 66, 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
March 4, 2025 - October 24, 2025
COREBRIDGE CAPITAL SERVICES, INC.
December 23, 2014 - October 24, 2025
VALIC FINANCIAL ADVISORS, INC.
June 17, 2014 - October 24, 2025
VALIC FINANCIAL ADVISORS, INC.
April 11, 2001 - July 26, 2001
IDS LIFE INSURANCE COMPANY
April 11, 2001 - July 26, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
February 23, 2000 - February 26, 2001
IDS LIFE INSURANCE COMPANY
February 23, 2000 - February 26, 2001
AMERIPRISE FINANCIAL SERVICES, 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
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
