Lisa M. Bernett
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 Bernett, who also goes by Lisa Marie Carroll, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1993. Lisa had worked at 11 firms and has passed the Series 63, SIE, Series 55, 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
December 4, 2013 - September 22, 2017
MORGAN STANLEY
January 23, 2012 - May 24, 2012
NEW ENGLAND SECURITIES
January 23, 2012 - May 24, 2012
MSI FINANCIAL SERVICES, INC.
January 23, 2012 - May 24, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
October 21, 2010 - May 24, 2012
WALNUT STREET SECURITIES, INC.
October 21, 2010 - May 24, 2012
TOWER SQUARE SECURITIES, INC.
September 27, 2005 - July 23, 2009
TOWER SQUARE SECURITIES, INC.
June 9, 2004 - July 23, 2009
WALNUT STREET SECURITIES, INC.
April 21, 2004 - April 25, 2006
METLIFE INVESTORS DISTRIBUTION COMPANY
April 28, 2003 - December 18, 2003
METLIFE INVESTORS DISTRIBUTION COMPANY
May 28, 2002 - June 19, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 29, 2001 - November 23, 2001
LASALLE ST SECURITIES, L.L.C.
February 3, 1999 - October 1, 2001
EISNER SECURITIES, INC.
April 24, 1997 - February 4, 1999
WALNUT STREET SECURITIES, INC.
July 3, 1996 - February 19, 1997
WS GRIFFITH SECURITIES, INC.
October 26, 1993 - June 4, 1996
EDWARD JONES
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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 55
Date: 10/30/1998
Limited Representative-Equity Trader ExamCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
