Lisa M. Heaney
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 Heaney was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2002. Lisa had worked at 5 firms and has passed the Series 63 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
September 5, 2012 - May 21, 2013
OPEN TO THE PUBLIC INVESTING, INC.
September 8, 2011 - March 13, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
July 22, 2009 - September 7, 2011
CHAPDELAINE TULLETT PREBON, LLC
January 3, 2007 - July 20, 2009
W.A. CAPITAL MARKETS
March 14, 2002 - January 3, 2007
CHAPDELAINE CORPORATE SECURITIES & 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
OPEN TO THE PUBLIC INVESTING, INC.
CRD#: 127818 / SEC#: , 8-66049
Contact information
FINRA licenses (53 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.
