Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
LISA BAKER LAWWILL
LISA ANN BAKER
CRD#: 2397470
IA
Investment Adviser
B
Broker
PROSPERA FINANCIAL SERVICES, INC.CRD#: 10740 38 Orchard Street
ASHEVILLE, NC 28801
Registration History
19952000200520102015202020252 FIRMS2003 - 2005 (2 years)2 FIRMS2006 - Present (18 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1995 - 2000 (5 years)BMFI INVESTMENTS CORP. (CRD# 2864)1994 - 1995 (<1 year)BFIRST AFFILIATED SECURITIES (CRD# 23737)1994 - 1994 (<1 year)
License(s)

State Registrations

B
North Carolina 1/9/2006
IA
North Carolina 6/16/2006

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
38 Orchard Street, ASHEVILLE, NC 28801
Registered with this firm since 6/16/2006
B
PROSPERA FINANCIAL SERVICES, INC. (CRD#:10740)
38 Orchard Street, ASHEVILLE, NC 28801
Registered with this firm since 1/6/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/07/2003 - 12/19/2005 MORGAN STANLEY (CRD#:7556) ASHEVILLE, NC
B
 06/24/2003 - 12/19/2005 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
 06/15/1995 - 06/02/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 07/29/1994 - 02/27/1995 MFI INVESTMENTS CORP. (CRD#:2864) BRYAN, OH
B
 05/25/1994 - 07/14/1994 FIRST AFFILIATED SECURITIES (CRD#:23737) LA JOLLA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.