Lisa L. Curcio
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 Lynn Curcio, who also goes by Lisa L Curcio, Lisa Curcio, Lisa Lynn Wheelock, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1995. Lisa had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2011 - May 24, 2023
PURSHE KAPLAN STERLING INVESTMENTS
February 29, 2008 - May 31, 2023
STERLING INVESTMENT ADVISORS LTD.
February 1, 2008 - April 27, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 26, 2006 - June 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2006 - June 19, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 18, 2005 - July 3, 2006
AMG DISTRIBUTORS, INC.
March 9, 2005 - July 3, 2006
AMG DISTRIBUTORS, INC.
June 10, 2004 - January 3, 2005
1838 INVESTMENT ADVISORS,LP
December 9, 1998 - April 1, 2004
NUVEEN SECURITIES, LLC
January 26, 1995 - April 1, 2004
RITTENHOUSE ASSET MANAGEMENT, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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