Lisa L. Cabral
Professional summary
Lisa L Cabral, who also goes by Lisa L. Cabral, Lisa Cabral, Lisa Luna Cabral, Lisa Luna, Lisa Cabral Marquez, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Houston, Texas.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2000. Lisa has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa L Cabral's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 26, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 13831 Northwest Freeway Suite 215, Houston, TX 77040March 19, 2004 - November 4, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
June 23, 2003 - December 31, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
September 21, 2000 - July 20, 2001
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/26/2022)
Exams
FINRA
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
