Lisa E. Debock
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 Elaine Debock, who also goes by Lisa E Debock, Lisa Elaine Debock, Lisa Debock, Lisa Elaine Slis, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2007. Lisa had worked at 9 firms and has passed the Series 66, Series 52TO, Series 6TO, Series 7TO, SIE, Series 7, Series 53, Series 26 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
July 19, 2024 - November 3, 2025
STATE FARM VP MANAGEMENT CORP.
July 31, 2018 - September 23, 2021
CHARLES SCHWAB & CO., INC.
December 18, 2015 - June 26, 2018
HARTFORD FUNDS DISTRIBUTORS, LLC
July 15, 2014 - November 24, 2015
TCG SECURITIES, L.L.C.
January 14, 2013 - July 9, 2014
MORGAN STANLEY & CO. LLC
November 26, 2012 - July 9, 2014
MORGAN STANLEY DISTRIBUTION, INC.
December 13, 2010 - November 30, 2012
MORGAN STANLEY
April 16, 2008 - October 25, 2010
NYLIFE DISTRIBUTORS LLC
March 29, 2007 - November 2, 2010
NYLIFE SECURITIES 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 52TO
Date: 10/11/2024
Municipal Securities Representative ExaminationSeries 6TO
Date: 7/19/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 9/22/2022
General Securities Representative ExaminationCurrent Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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