Lisa Norcia-Appelbaum is a registered investment advisor, based in Chicago, IL, with 12 years of industry experience.
Location
353 N. Clark St, Chicago, IL, 60654
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Mesirow Financial, INC.
June 2023 - Present · 2 yrs 11 mos
Mesirow Financial Investment Management, INC.
June 2023 - Present · 2 yrs 11 mos
Mesirow Financial, INC.Broker
June 2023 - Present · 2 yrs 11 mos
Previous Registrations
Morgan Stanley
November 2022 - June 2023 · 7 mos
Morgan StanleyBroker
August 2022 - June 2023 · 10 mos
Bear, Stearns & CO. INC.Broker
April 1992 - July 2001 · 9 yrs 3 mos
State Registrations28 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.