16660 Dallas Parkway Suite 2200, Dallas, TX, 75248
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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 →Lisa is a sole proprietor of Gesin Consulting, offering compliance and supervision services for B/D, RIA, and MA firms, dedicating nearly full-time hours to this since 2006. She also serves as CCO for Worth Asset Management, an IA firm, spending a few hours per week on compliance and supervision duties.