Lisa A. Holley
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 Ann Holley, who also goes by Lisa Erwin, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1997. Lisa had worked at 1 firm and has passed the Series 63, SIE 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
February 10, 1997 - December 31, 2017
SIGNAL SECURITIES, INC.
Primary Firm SEC Registration
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
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
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
Contact information
SEC notice filing (16 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,832 |
| AUM (Assets Under Management) | $ 599,186,467 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
