Lisa M. Mayville
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 Marie Mayville, who also goes by Lisa M Arnold, Lisa Mayville Arnold, Lisa Mayville, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2007. Lisa had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2016 - November 21, 2016
MISSIONSQUARE WEALTH MANAGEMENT
April 3, 2014 - November 26, 2014
VANGUARD MARKETING CORPORATION
August 19, 2013 - October 30, 2013
NYLIFE SECURITIES LLC
September 9, 2010 - November 28, 2011
USAA INVESTMENT SERVICES COMPANY
August 3, 2010 - September 9, 2010
USAA FINANCIAL PLANNING SERVICES
August 3, 2010 - November 28, 2011
USAA FINANCIAL ADVISORS, INC.
April 1, 2009 - May 12, 2009
EQUITABLE ADVISORS, LLC
April 1, 2009 - May 12, 2009
EQUITABLE ADVISORS, LLC
August 8, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 2007 - July 8, 2008
FIDELITY BROKERAGE SERVICES LLC
March 19, 2007 - December 13, 2007
FIDELITY DISTRIBUTORS COMPANY 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
MISSIONSQUARE WEALTH MANAGEMENT
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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