Lisa A. Mauk
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 Ann Mauk, who also goes by Lisa Ann Fralic, Lisa Ann Fralie, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1990. Lisa had worked at 4 firms and has passed the Series 66, Series 63, Series 3 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 11, 2005 - December 2, 2022
HARBOUR FINANCIAL INC.
December 13, 1999 - July 17, 2000
KELMOORE INVESTMENT COMPANY, INC.
January 1, 1995 - December 22, 1999
CIBC WORLD MARKETS CORP.
August 29, 1990 - December 22, 1994
J.P. MORGAN SECURITIES 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
HARBOUR FINANCIAL INC.
CRD#: 131696 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 7,000,000 |
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.
