Lisa D. Cannon
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 Danielle Anderson Cannon, who also goes by Lisa Danielle Anderson, Lisa Danielle Anderson Cannon, Lisa Anderson Cannon, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2003. Lisa had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2015 - December 7, 2018
REGULUS FINANCIAL GROUP, LLC
November 21, 2005 - June 4, 2015
AVANTAX ADVISORY SERVICES
September 7, 2005 - June 4, 2015
AVANTAX INVESTMENT SERVICES, INC.
July 28, 2003 - September 6, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 3, 2003 - September 6, 2005
TRANSAMERICA FINANCIAL 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
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
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.
