Liliana C. Tapia
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.
Liliana C Tapia, who also goes by Liliana Correa, Liliana Correa Tapia, Lily C Tapia, was a registered financial professional .
Liliana is a previously registered financial professional and started their career in finance in 1999. Liliana had worked at 2 firms and has passed the Series 66, 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
June 22, 2017 - April 9, 2018
LCG CAPITAL ADVISORS, LLC
August 11, 2008 - July 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2008 - July 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2005 - September 18, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 1999 - September 18, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
LCG CAPITAL ADVISORS, LLC
CRD#: 129311 / SEC#: , 8-66213
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
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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