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Lisa Ann Cherry

Rbc Capital Markets, LLC

Bangor, ME

Winterport, ME

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-01-26
ME RA APPROVED 2015-10-15
  • TX RA
    APPROVED
    Since 2024-01-26
  • ME RA
    APPROVED
    Since 2015-10-15

Branch Locations

23 Water Street Suite 303, Bangor, ME 04401-6373 • United States

Winterport, ME • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Bangor ME 09/2015 Present
City National Bank Bangor ME 09/2019 Present
Other Businesses

RENTAL PROPERTY; INV-RELATED; BANGOR, ME; 100% OWNERSHIP; START 9/09; HOURS: 0 HRS PER MONTH-0 DURING TRADING, DUTIES: LANDLORD

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-10-14
S63 Uniform Securities Agent State Law Examination 2012-02-18
  • S65 Uniform Investment Adviser Law Examination
    2015-10-14
  • S63 Uniform Securities Agent State Law Examination
    2012-02-18
Other Names
  • Lisa Ann Smith
  • Lisa Ann Cherry-Smith

View on SEC IAPD

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UBS FINANCIAL SERVICES INC. · BANGOR, ME
UBS FINANCIAL SERVICES INC. · BANGOR, ME
AMERIPRISE FINANCIAL SERVICES, LLC · Bangor, ME
MML INVESTORS SERVICES, LLC · BANGOR, ME
OSAIC WEALTH, INC. · BANGOR, ME
USA FINANCIAL SECURITIES LLC · Bangor, ME
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