Lisa A. Williams
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 Williams, who also goes by Lisa Williams, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1999. 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 25, 2008 - August 30, 2013
CADARET, GRANT & CO., INC.
November 21, 2005 - May 10, 2007
HSBC SECURITIES (USA) INC.
January 6, 2005 - September 2, 2005
CITICORP INVESTMENT SERVICES
March 31, 2004 - November 10, 2005
CITICORP INVESTMENT SERVICES
September 24, 1999 - April 13, 2004
CHARLES SCHWAB & CO., INC.
January 7, 1999 - July 8, 1999
FORESTERS FINANCIAL 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
