Lisa S. 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 S Cannon, who also goes by Lisa S Cannon, Lisa Suzanne Cannon, Chloe Cannon, Lisa S Stewart, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2007. Lisa had worked at 4 firms and has passed the 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
November 22, 2023 - November 26, 2024
COLDSTREAM SECURITIES, INC.
November 11, 2014 - November 10, 2023
COMMONWEALTH FINANCIAL NETWORK
July 12, 2013 - September 17, 2013
CHARLES SCHWAB & CO., INC.
March 14, 2007 - December 18, 2008
CHASE INVESTMENT SERVICES CORP.
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
COLDSTREAM SECURITIES, INC.
CRD#: 46835 / SEC#: , 8-51549
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
