Lisa M. Takeuchi
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 Takeuchi, who also goes by Lisa Marie Milne, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2013. Lisa had worked at 2 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 50, SIE, Series 52, Series 24, Series 54 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2022 - March 30, 2026
ALPHALEDGER MARKETS, INC.
August 29, 2013 - March 18, 2022
D.A. DAVIDSON & CO.
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
Series 7TO
Date: 12/22/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
ALPHALEDGER MARKETS, INC.
CRD#: 300262 / SEC#: , 8-70294
Contact information
FINRA licenses (13 States and Territories)
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.
