Lisa A. Van Ullen
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 Van Ullen, who also goes by Lisa Ann Bennett, Lisa Ann Van Ullen-bennett, Lisa Ann Vanullen, Lisa Vanullen, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1999. Lisa had worked at 6 firms and has passed the Series 66, SIE, Series 31 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
September 21, 2015 - November 8, 2016
BOSTON ASSET MANAGEMENT, INC.
June 10, 2010 - March 20, 2015
SYNOVUS SECURITIES, INC.
June 10, 2010 - March 20, 2015
SYNOVUS SECURITIES, INC.
July 28, 2008 - December 31, 2009
WELLS FARGO CLEARING SERVICES, LLC
December 15, 2006 - June 30, 2008
SYNOVUS SECURITIES, INC.
October 2, 2006 - December 31, 2006
SYNOVUS INVESTMENT ADVISORS, INC.
April 17, 2006 - September 29, 2006
SYNOVUS SECURITIES, INC.
April 7, 2006 - June 30, 2008
SYNOVUS SECURITIES, INC.
October 6, 2004 - March 24, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
January 21, 2003 - March 24, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
June 7, 1999 - January 10, 2003
MORGAN STANLEY DW INC.
June 3, 1999 - January 10, 2003
MORGAN STANLEY DW 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
BOSTON ASSET MANAGEMENT, INC.
CRD#: 112768 / SEC#: 801-123584
Contact information
Regulatory assets under management
| Total Number of Accounts | 466 |
| AUM (Assets Under Management) | $ 103,671,136 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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