Lisa M. Lafond
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 Lafond, who also goes by Lisa Marie Evans, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2002. Lisa had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2020 - May 18, 2021
BROADSTONE SECURITIES
April 29, 2019 - October 14, 2019
CABOT LODGE SECURITIES LLC
February 15, 2018 - January 7, 2019
CABOT LODGE SECURITIES LLC
June 14, 2004 - May 18, 2021
PURSHE KAPLAN STERLING INVESTMENTS
December 18, 2002 - June 24, 2004
MERCER ALLIED COMPANY, L.P.
State Registrations and Notice Filings
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Exams
Current Firm
BROADSTONE SECURITIES
CRD#: 101600 / SEC#: , 8-52094
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
