Lisa S. Herhold
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 Smith Herhold, who also goes by Lisa S Herhold, Lisa Ann Smith, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1994. Lisa had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 24 and Series 8 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, 2019 - February 24, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 30, 2019 - February 20, 2020
FIDELITY BROKERAGE SERVICES LLC
September 26, 2014 - August 2, 2018
SCHWAB WEALTH ADVISORY, INC.
January 1, 1999 - September 26, 2014
CHARLES SCHWAB & CO., INC.
October 29, 1998 - July 24, 2018
CHARLES SCHWAB & CO., INC.
February 22, 1996 - February 23, 1998
CHARLES SCHWAB & CO., INC.
August 19, 1994 - January 31, 1996
MORGAN STANLEY DW 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 8
Date: 10/8/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
