Lisa M. Curran
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 Michele Curran, who also goes by Lisa C Carlton, Lisa Michelle Curran, Lisa M Greene, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2014. Lisa had worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2018 - January 18, 2019
EQIS SECURITIES, LLC
August 4, 2016 - June 15, 2017
FSIC
February 24, 2014 - May 20, 2016
CURIAN CLEARING, LLC
State Registrations and Notice Filings
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Exams
Current Firm
EQIS SECURITIES, LLC
CRD#: 20633 / SEC#: , 8-38369
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
