Lisa K. Davenport
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 Kirkwood Davenport, who also goes by Lisa Kirkwood Davenport, Lisa K Davenport, Lisa Michelle Harris, Lisa Michelle Kirkwood, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2015. Lisa had worked at 2 firms and has passed the Series 63, Series 31, SIE 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
March 1, 2021 - July 22, 2025
NEUBERGER BERMAN BD LLC
October 29, 2020 - July 22, 2025
NEUBERGER BERMAN BD LLC
May 20, 2019 - June 19, 2020
NEUBERGER BERMAN BD LLC
July 10, 2015 - July 27, 2017
CALAMOS FINANCIAL SERVICES LLC
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
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
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
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.
