Lisa Hemby is a registered investment advisor, based in Charlotte, NC, with 7 years of industry experience.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
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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 →Other Business ActivitiesSells Insurance
Lisa holds an insurance license for residuals, though it is investment-related. She dedicates minimal time to this activity.
Employment History
Current Registrations
Vanguard Marketing Corporation
September 2020 - Present · 5 yrs 8 mos
Vanguard Advisers, INC.
September 2020 - Present · 5 yrs 8 mos
Vanguard Marketing CorporationBroker
September 2020 - Present · 5 yrs 8 mos
Previous Registrations
Principal Securities, INC.
March 2020 - August 2020 · 5 mos
Principal Securities, INC.Broker
February 2020 - August 2020 · 6 mos
Edward Jones
July 2018 - October 2019 · 1 yr 3 mos
Edward JonesBroker
May 2018 - October 2019 · 1 yr 5 mos
State Registrations2 states
NCTX
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.