Lisa D. Mcconnell
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 Diane Mcconnell, who also goes by Lisa Diane Heuring, Lisa Heuring, Lisa Mcconnell, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1998. Lisa had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2012 - July 1, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 1, 2012 - July 1, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 24, 2011 - July 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 21, 2011 - July 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 2010 - March 1, 2011
EQUITY SERVICES, INC.
June 1, 2009 - April 28, 2010
MORGAN STANLEY
June 1, 2009 - April 28, 2010
MORGAN STANLEY
June 16, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 26, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 2, 2004 - April 27, 2004
MORGAN STANLEY DW INC.
January 14, 2000 - March 8, 2000
FIRST ALLIED SECURITIES, INC.
June 29, 1998 - April 27, 2004
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
