Lisa P. Haworth
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 Paxton Haworth, who also goes by Lisa Marie Paxton, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1998. Lisa had worked at 5 firms and has passed the Series 65, Series 63, Series 7 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
March 23, 2011 - January 3, 2020
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
November 14, 2005 - November 8, 2010
BB&T ASSET MANAGEMENT, INC.
May 1, 2003 - July 14, 2004
LPL FINANCIAL LLC
May 1, 2003 - March 28, 2005
IRA GROUP, INC.
October 31, 2000 - July 14, 2004
LPL FINANCIAL LLC
January 23, 1998 - December 8, 1999
SEDGWICK INVESTMENTS, 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
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
CRD#: 106156 / SEC#: 801-42913
Contact information
Red Flags
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