Lisa A. Kenyon
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 Anne Kenyon was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1992. Lisa had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2006 - July 12, 2019
OCM INVESTMENTS, LLC
December 19, 2003 - January 13, 2006
BROWN BROTHERS HARRIMAN & CO.
January 10, 2003 - July 8, 2003
HOWARD WEIL INCORPORATED
December 3, 1997 - July 19, 2002
PIPER SANDLER & CO.
October 23, 1992 - March 14, 1996
PIPER SANDLER & CO.
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
OCM INVESTMENTS, LLC
CRD#: 128803 / SEC#: , 8-66176
Contact information
FINRA licenses (52 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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