Lisa K. Coburn
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 Kim Coburn, who also goes by Lisa Kim Mueller, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2003. Lisa had worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 22, Series 39 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2003 - December 15, 2023
COBURN GROUP, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 10/29/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
COBURN GROUP, LLC
CRD#: 121308 / SEC#: , 8-65402
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COBURN, LISA KIM | FINANCIAL OPERATIONS PRINCIPAL AND CHIEF COMPLIANCE OFFICER | 4662620 |
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.
