Lisa M. Biggs
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 M Biggs, who also goes by Lisa Marie Pennington, Lisa Marie Stanley, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2011. Lisa had worked at 1 firm and has passed the Series 22 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2011 - June 13, 2012
LOWELL & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOWELL & COMPANY, INC.
CRD#: 24913 / SEC#: 801-69460, 8-41437
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOWELL, WILLIAM HAMILTON | CHIEF COMPLIANCE OFFICER/PRESIDENT/CROP/SROP | 1158722 |
Disclosures
| Regulatory Event | 3 |
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.
