Lisa C. Conley
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 Char Updike Conley, who also goes by Lisa Char Conley, Lisa U Conley, Lisa C Updike, Lisa Char Updike, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1994. Lisa had worked at 4 firms and has passed the Series 63, SIE 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
December 1, 2010 - July 9, 2015
BMO CAPITAL MARKETS GKST INC.
February 24, 2009 - September 27, 2010
B. C. ZIEGLER AND COMPANY
July 15, 1997 - February 10, 2009
CITIGROUP GLOBAL MARKETS INC.
April 18, 1994 - June 17, 1997
UBS FINANCIAL SERVICES INC.
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
BMO CAPITAL MARKETS GKST INC.
CRD#: 8352 / SEC#: , 8-25091
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
