Lisa M. Edwards

ATB CAPITAL MARKETS USA

Toronto, Ontario, M5K 1A1

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CRD#: 5592656

Professional summary

Lisa Marie Edwards is a registered financial professional currently at ATB CAPITAL MARKETS USA INC. .

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2012. Lisa has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 37 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lisa Marie Edwards's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 8, 2024 - Present

ATB CAPITAL MARKETS USA INC.

Office #1: 66 Wellington Street West Suite 3530, Toronto, Ontario, M5K 1A1

RIA

CRD#: 155053

Toronto, Ontario,

Past

August 28, 2019 - August 3, 2023

SPROTT GLOBAL RESOURCE INVESTMENTS LTD

CRD#: 35878

TORONTO,

Past

October 10, 2012 - February 10, 2014

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

TORONTO, ONTARIO,

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ATB CAPITAL MARKETS USA INC.

ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.

CRD#: 155053 / SEC#: 801-128511, 8-68692

RIA

Registered Investment Advisory firm - SEC (1/12/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/15/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/28/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/28/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 37

Date: 10/9/2012

Canada Module of the General Securities Registered Representative (With Options Questions)

Principal/Supervisory Exam

Series 24

Date: 10/26/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ATB CAPITAL MARKETS USA INC.

ALTACORP CAPITAL (USA) INC. | ATB CAPITAL MARKETS USA INC.

CRD#: 155053 / SEC#: 801-128511, 8-68692

RIA

Registered Investment Advisory firm - SEC (1/12/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

#410 585 8th Avenue Sw, Calgary, Alberta, T2P 1G1

Mailing Address

#410 585 8th Avenue Sw, Calgary, T2P 1G1

Phone number

(403) 593-8600

Established

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

RESEARCH SERVICES (6/11/2025)

Direct owners and executive officers

Name	Position	CRD#
ATB SECURITIES, INC.	SHAREHOLDER
EDWARDS, LISA MARIE	CHIEF COMPLIANCE OFFICER	5592656
EURICH, DARREN LEE	EXECUTIVE REPRESENTATIVE, CEO, MEMBER OF BOARD OF DIRECTORS	7323470
PECK, NANCY LYNN	FINOP/CFO	5174759

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.

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Advisor Monitoring

Firm Stability Insights

Lisa M. Edwards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lisa Marie Edwards's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPROTT GLOBAL RESOURCE INVESTMENTS LTD

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Primary Firm SEC Registration

ATB CAPITAL MARKETS USA INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/15/2012

Series 7TO

Date: 8/28/2019

SIE

Date: 6/28/2019

Series 37

Date: 10/9/2012

Series 24

Date: 10/26/2020

FINRA

Current Firm

ATB CAPITAL MARKETS USA INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

ATB CAPITAL MARKETS USA INC.

TRUST BUT VERIFY

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