Lisa H. 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 Hunt Smith was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1995. Lisa had worked at 4 firms and has passed the Series 63 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
August 14, 2001 - July 1, 2010
TRADIER BROKERAGE, INC.
April 6, 2001 - August 15, 2001
LASALLE ST SECURITIES, L.L.C.
April 21, 1997 - April 9, 2001
ROSENTHAL COLLINS SECURITIES, L.L.C
October 26, 1995 - December 31, 1996
GLOBAL INVESTMENT 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
TRADIER BROKERAGE, INC.
CRD#: 104982 / SEC#: , 8-52972
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
