Lisa L. Haberman
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 Lou Haberman, who also goes by Lisa Lou Haberman-kibler, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2000. Lisa had worked at 5 firms and has passed the Series 63, SIE, 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 21, 2017 - January 3, 2019
APW CAPITAL, INC.
January 30, 2017 - August 7, 2020
MIDWEST PROFESSIONAL PLANNERS, LTD.
June 30, 2014 - January 14, 2015
CETERA INVESTMENT ADVISERS LLC
June 5, 2014 - January 14, 2015
CETERA INVESTMENT SERVICES LLC
December 15, 2000 - January 24, 2014
STATE FARM VP MANAGEMENT CORP.
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
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
