Lisa A. Ford
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 Arlene Ford was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1989. Lisa had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2013 - December 31, 2015
THE LEADERS GROUP, INC.
June 1, 2009 - February 16, 2012
MORGAN STANLEY
June 1, 2009 - February 16, 2012
MORGAN STANLEY
December 15, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 15, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 14, 2005 - December 20, 2006
RBC CAPITAL MARKETS, LLC
June 14, 2005 - December 20, 2006
RBC CAPITAL MARKETS, LLC
April 6, 2001 - June 14, 2005
THE LEADERS GROUP, INC.
April 11, 2000 - December 31, 2000
SLD AMERICA EQUITIES, INC.
December 3, 1996 - September 3, 1997
OSAIC WEALTH, INC.
February 27, 1989 - November 20, 1996
HIMCO DISTRIBUTION SERVICES 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
