Lisa L. Carnes
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 Leann Carnes, who also goes by Lisa L Reynolds Carnes, Lisa Leann Reynolds, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1996. Lisa had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2008 - April 27, 2012
BLC FINANCIAL SERVICES, INC.
August 29, 1997 - December 10, 2007
CONSECO EQUITY SALES, INC.
October 2, 1996 - July 14, 1997
CAPITAL CLIENT GROUP, 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
BLC FINANCIAL SERVICES, INC.
CRD#: 126638 / SEC#: , 8-65898
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 14 |
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.
