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Lisa Baker Lawwill

Prospera Financial Services, Inc.

Dallas, TX

Asheville, NC

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Current Employers
Prospera Financial Services, Inc.

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2006-06-16
  • NC RA
    APPROVED
    Since 2006-06-16

Branch Locations

5429 Lbj Freeway Suite 750, Dallas, TX 75240 • UNITED STATES

38 Orchard Street, Asheville, NC 28801 • 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
Prospera Financial Services Dallas TX 01/2006 Present
  • 01/2006 → Present
    Prospera Financial Services
    Dallas, TX
Previous Registrations
  • 2003-11-07 → 2005-12-19
    Morgan Stanley Dw Inc.
    Asheville, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-31
S63 Uniform Securities Agent State Law Examination 1994-05-25
  • S66 Uniform Combined State Law Examination
    2003-10-31
  • S63 Uniform Securities Agent State Law Examination
    1994-05-25
Other Names
  • Lisa Baker Lawwill
  • Lisa Ann Baker

View on SEC IAPD

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