Lisa J. Ghans
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 Josette Ghans, who also goes by Lj Ghans, Lisa Josette Williams, Lj Williams, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1996. Lisa had worked at 10 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2016 - November 18, 2024
EAGLE STRATEGIES LLC
March 3, 2016 - November 18, 2024
NYLIFE SECURITIES LLC
April 6, 2006 - September 5, 2013
WALNUT STREET SECURITIES, INC.
April 6, 2006 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
April 6, 2006 - January 2, 2015
NEW ENGLAND SECURITIES
April 6, 2006 - December 28, 2015
MSI FINANCIAL SERVICES, INC.
November 16, 2005 - September 9, 2013
TOWER SQUARE SECURITIES, INC.
September 12, 2003 - September 9, 2013
WALNUT STREET SECURITIES, INC.
September 12, 2003 - January 2, 2015
NEW ENGLAND SECURITIES
September 12, 2003 - December 28, 2015
MSI FINANCIAL SERVICES, INC.
September 10, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 2, 2003 - September 5, 2003
COMPUTERSHARE SECURITIES CORPORATION
May 26, 1998 - April 27, 2001
HARRISDIRECT LLC
May 30, 1996 - June 11, 1998
PERSHING LLC
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 5/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
