Lisa Hulme
Professional summary
Lisa Hulme is a registered financial professional currently at PREVAIL CAPITAL LLC located in Naples, Florida.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2012. Lisa has worked at 3 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 22, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Hulme's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2013 - Present
PREVAIL CAPITAL LLC
November 6, 2012 - June 27, 2013
TRUSTMONT ADVISORY GROUP, INC.
October 12, 2012 - June 27, 2013
TRUSTMONT FINANCIAL GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/19/2017)
(11/26/2013)
(7/20/2017)
(5/26/2017)
(5/25/2017)
(4/24/2017)
(7/1/2013)
(5/17/2017)
(2/14/2024)
(4/5/2017)
(1/10/2020)
(8/11/2022)
(5/16/2017)
(5/11/2017)
(11/26/2013)
(4/29/2017)
(5/18/2017)
(5/1/2017)
(2/11/2025)
(3/29/2017)
(2/23/2024)
(10/19/2016)
(11/29/2017)
(11/26/2013)
(3/31/2017)
(9/13/2016)
(5/23/2017)
(9/21/2016)
(3/31/2017)
(11/15/2024)
(10/20/2016)
(10/23/2018)
(9/15/2016)
(4/11/2017)
(4/5/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PREVAIL CAPITAL LLC
CRD#: 141322 / SEC#: , 8-67378
Contact information
FINRA licenses (35 States and Territories)
Red Flags
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