Lisa G. Kahn-smith
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 Gayle Kahn-smith, who also goes by Lisa Kahn, Lisa Gayle Torres, 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 65, Series 63, Series 99TO, SIE, Series 7, Series 14 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
June 4, 2008 - October 25, 2022
SENDERO SECURITIES, LLC
January 25, 2008 - October 25, 2022
SENDERO WEALTH MANAGEMENT, LLC
January 12, 2000 - January 2, 2008
HITHERLANE PARTNERS, LLC
January 12, 2000 - August 20, 2008
HITHERLANE PARTNERS, LLC
November 8, 1994 - January 28, 2000
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SENDERO SECURITIES, LLC
CRD#: 146627 / SEC#: , 8-67834
Contact information
FINRA licenses (1 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
