Lisa M. Morse
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 Morse, who also goes by Lisa M Morse, Lisa Marie Weeks, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2009. Lisa had worked at 2 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2011 - April 18, 2012
SENTINEL FINANCIAL SERVICES COMPANY
January 13, 2009 - April 3, 2009
CHITTENDEN 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
Current Firm
SENTINEL FINANCIAL SERVICES COMPANY
CRD#: 31175 / SEC#: , 8-45393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL ASSET MANAGEMENT INC. | GENERAL PARTNER | |
| SENTINEL ADMINISTRATIVE SERVICES, INC | GENERAL PARTNER | |
| TEESE, GREGORY DWIGHT | VICE PRESIDENT, COMPLIANCE & CHIEF COMPLIANCE OFFICER | 2135269 |
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.
