LH
Lisa C. Haley
SMH CAPITAL ADVISORS LLC
Fort Worth, TX 76109
Some features on this profile are disabled
CRD#: 4579362
LH
Professional summary
Lisa Celeste Haley, who also goes by Lisa Celeste Cox, Lisa Celeste Walker, is a registered financial advisor currently at SMH CAPITAL ADVISORS LLC located in Fort Worth, Texas and SMH CAPITAL INVESTMENTS LLC located in Fort Worth, Texas.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Lisa has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Celeste Cox | Lisa Celeste Walker
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
2)NOT INVESTMENT RELATED, 3)WILLOW PARK, TX, 4)RENTAL PROPERTY, 5)AGENT/CONTRACTOR, 6)JULY 2013, 7)1 HR PER MONTH, 8)0 HR DURING SECURTIES TRADING, 9)LANDLORD
Misfit Acres; not investment related; owner of horse farm; 08/01/2018; 10 hours per month with 0 during securities trading hours
SMH Capital Advisors LLC - SEC investment adviser with adviser under common ownership with BD; COO responsible for back office of advisor; 30 hours per week during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Celeste Haley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 18, 2007 - Present
SMH CAPITAL ADVISORS LLC
Office #1: 4200 S. Hulen St. Suite 534, Fort Worth, TX 76109Office #2: 101 York Avenue, Weatherford, TX 76086RIA
CRD#: 108344
Fort Worth, TX
Current
August 6, 2018 - Present
SMH CAPITAL INVESTMENTS LLC
Office #1: 4200 S. Hulen Suite 534, Fort Worth, TX 76109Office #2: 101 York Ave., Weatherford, TX 76086Office #3: 4200 S. Hulen Suite 534, Ft. Worth, TX 76109BD
CRD#: 24535
Fort Worth, TX
Past
September 18, 2007 - January 2, 2019
SANDERS MORRIS LLC
BD
CRD#: 20580
FORT WORTH, TX
Past
February 2, 2006 - September 12, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
GRANBURY, TX
Past
February 2, 2006 - September 12, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
GRANBURY, TX
Past
July 28, 2005 - January 26, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
GRANBURY, TX
Past
April 7, 2004 - January 26, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
SMH CAPITAL ADVISORS LLC
CUMMER MOYERS CAPITAL ADVISORS INC | SMH CAPITAL ADVISORS, INC. | SMH CAPITAL ADVISORS LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS HARRIS | KISSINGER FINANCIAL SERVICES | DOUGLAS NOYES
CRD#: 108344 / SEC#: 801-54089
RIA
Registered Investment Advisory firm - (6/6/1997 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Arizona(1/24/2013)
IAR
California(1/7/2013)
RR
California(8/31/2018)
IAR
Colorado(1/7/2013)
RR
Colorado(8/31/2018)
IAR
Connecticut(1/10/2013)
IAR
Florida(2/14/2013)
RR
Florida(8/31/2018)
IAR
Georgia(1/7/2013)
IAR
Illinois(1/7/2013)
RR
Louisiana(8/31/2018)
IAR
Maryland(1/10/2013)
IAR
Massachusetts(1/8/2013)
RR
Missouri(6/18/2020)
IAR
Missouri(7/10/2020)
IAR
New Hampshire(1/7/2013)
IAR
New Jersey(1/7/2013)
IAR
New Mexico(1/7/2013)
IAR
Ohio(1/5/2013)
IAR
Pennsylvania(1/8/2013)
IAR
Texas(9/18/2007)
RR
Texas(8/6/2018)
IAR
Virginia(1/7/2013)
IAR
Wisconsin(1/7/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SMH CAPITAL ADVISORS LLC
CUMMER MOYERS CAPITAL ADVISORS INC | SMH CAPITAL ADVISORS, INC. | SMH CAPITAL ADVISORS LLC | SMH ASSET MANAGEMENT | SANDERS MORRIS HARRIS | KISSINGER FINANCIAL SERVICES | DOUGLAS NOYES
CRD#: 108344 / SEC#: 801-54089
RIA
Registered Investment Advisory firm - (6/6/1997 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4200 S. Hulen St. Suite 534, Fort Worth, TX 76109
Mailing Address
Phone number
(817) 569-7000
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 189 |
| AUM (Assets Under Management) | $ 419,741,296 |
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.
