Lisa M. Huffman
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 Marie Huffman, who also goes by Lisa Marie Schleich, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2000. Lisa had worked at 4 firms and has passed the 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
February 14, 2014 - May 2, 2014
RICHFIELD ORION INTERNATIONAL, INC.
September 19, 2006 - March 27, 2012
TRANSAMERICA CAPITAL, LLC
June 7, 2005 - September 13, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 15, 2000 - June 23, 2001
CHARLES SCHWAB & CO., 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
RICHFIELD ORION INTERNATIONAL, INC.
CRD#: 24433 / SEC#: , 8-41166
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHFIELD ORION INTERNATIONAL, LLC | PARENT COMPANY | |
| STUART, JAMES BRETT | CEO,CFO,DIRECTOR, CCO | 3022149 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
