Lisa M. Ligas
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 M Ligas, who also goes by Lisa Margaret Dodgion, Lisa Margaret Ligas, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2008. Lisa had worked at 4 firms and has passed the Series 66, Series 3, Series 31 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
December 11, 2012 - July 23, 2014
CREDIT SUISSE SECURITIES (USA) LLC
December 11, 2012 - July 23, 2014
CREDIT SUISSE SECURITIES (USA) LLC
July 12, 2010 - November 1, 2012
GOLDMAN SACHS & CO. LLC
June 1, 2009 - July 19, 2010
MORGAN STANLEY
June 1, 2009 - July 19, 2010
MORGAN STANLEY
March 31, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 28, 2008 - June 1, 2009
MORGAN STANLEY & CO. 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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
