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LR

Lisa J. Rich

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CRD#: 5643307
LR

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 Joy Lampe Rich, who also goes by Lisa Jo Rich, was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 2009. Lisa had worked at 1 firm and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Jo Rich

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 6, 2009 - February 16, 2012

CIG SECURITIES

BD
CRD#: 129864
SOUTHFIELD, MI

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.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 7/3/2009
Financial and Operations Principal Examination

Current Firm

CS
CIG SECURITIES
CIG CORP | CIG SECURITIES, INC. | CIG SECURITIES

CRD#: 129864 / SEC#: , 8-66266

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Towne Square Suite 1850, Southfield, MI 48076
Mailing Address
One Towne Square Suite 1850, Southfield, MI 48076
Phone number
(248) 827-1010
Established
Michigan since 08/29/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CIG CAPITAL ADVISORS (FORMERLY CIG CORP.)OWNER
CHAPUT, KENNETH GERARDCHIEF COMPLIANCE OFFICER / MD - COMPLIANCE & OPERATIONS2504848
MINKARA, OSMAN RADWANMANAGING PRINCIPAL2426151

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.

Company Information

CIG SECURITIES

CRD#: 129864

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