Lisa Acca
Professional summary
Lisa Acca was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lisa is a previously registered financial advisor and started their career in finance in 2003. Prior to being barred, Lisa had worked at 5 firms, which includes ARIVE CAPITAL MARKETS, GLOBAL ARENA CAPITAL CORP, EQUITY SERVICES INC., ESSEX NATIONAL SECURITIES LLC, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2015 - October 23, 2017
ARIVE CAPITAL MARKETS
August 10, 2011 - April 21, 2015
GLOBAL ARENA CAPITAL CORP
June 8, 2010 - October 12, 2010
EQUITY SERVICES, INC.
June 18, 2009 - October 12, 2010
EQUITY SERVICES, INC.
January 14, 2009 - March 26, 2009
ESSEX NATIONAL SECURITIES, LLC
January 14, 2009 - March 26, 2009
ESSEX NATIONAL SECURITIES, LLC
September 12, 2003 - January 21, 2009
EQUITABLE ADVISORS, LLC
June 30, 2003 - January 21, 2009
EQUITABLE ADVISORS, LLC
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
ARIVE CAPITAL MARKETS
CRD#: 8060 / SEC#: , 8-43350
Contact information
Documents
Disclosures
| Regulatory Event | 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.
