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Detailed Report
Lisa L Bowers
LISA Leann BOWERS, LISA BOWERS, LISA LEANN HECKEL
CRD#: 5791730
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 200 West Civic Center Drive
Sandy, UT 84070
Registration History
2015201620172018201920202021202220232024202520263 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - 2019 (2 years)2 FIRMS2023 - Present (2 years)BE*TRADE SECURITIES LLC (CRD# 29106)2020 - 2023 (2 years)IAE*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159)2023 - 2023 (<1 year)IASOLTIS INVESTMENT ADVISORS, LLC (CRD# 154690)2020 - 2020 (<1 year)
License(s)

State Registrations

B
Alabama 3/13/2023
B
Nevada 9/5/2023
B
Alaska 7/28/2023
B
New Hampshire 3/13/2023
B
Arizona 3/13/2023
B
New Jersey 3/13/2023
B
Arkansas 3/13/2023
B
New Mexico 3/13/2023
B
California 3/13/2023
B
New York 3/13/2023
B
Colorado 3/13/2023
B
North Carolina 9/5/2023
B
Connecticut 3/13/2023
B
North Dakota 3/13/2023
B
Delaware 3/13/2023
B
Ohio 3/13/2023
B
District of Columbia 3/13/2023
B
Oklahoma 3/13/2023
B
Florida 3/13/2023
B
Oregon 7/11/2023
B
Georgia 3/13/2023
B
Pennsylvania 9/5/2023
B
Hawaii 3/13/2023
B
Puerto Rico 3/13/2023
B
Idaho 3/13/2023
B
Rhode Island 3/13/2023
B
Illinois 3/13/2023
B
South Carolina 3/13/2023
B
Indiana 3/13/2023
B
South Dakota 3/13/2023
B
Iowa 3/13/2023
B
Tennessee 3/13/2023
B
Kansas 3/13/2023
B
Texas 3/13/2023
B
Kentucky 3/13/2023
IA
Texas 7/7/2023
B
Louisiana 3/13/2023
B
Utah 3/23/2023
B
Maine 3/13/2023
IA
Utah 3/23/2023
B
Maryland 3/13/2023
B
Vermont 3/13/2023
B
Massachusetts 4/25/2023
B
Virgin Islands 3/13/2023
B
Michigan 3/13/2023
B
Virginia 4/27/2023
B
Minnesota 3/13/2023
B
Washington 3/13/2023
B
Mississippi 3/13/2023
B
West Virginia 9/5/2023
B
Missouri 3/13/2023
B
Wisconsin 3/13/2023
B
Montana 3/13/2023
B
Wyoming 3/13/2023
B
Nebraska 3/14/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MORGAN STANLEY (CRD#:149777)
200 West Civic Center Drive, Sandy, UT 84070
Registered with this firm since 3/23/2023
B
MORGAN STANLEY (CRD#:149777)
200 West Civic Center Drive, Sandy, UT 84070
Registered with this firm since 3/13/2023
Previous Registration(s)
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IA
 03/23/2023 - 09/05/2023 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) Sandy, UT
B
 12/04/2020 - 09/05/2023 E*TRADE SECURITIES LLC (CRD#:29106) SANDY, UT
IA
 02/11/2020 - 11/20/2020 SOLTIS INVESTMENT ADVISORS, LLC (CRD#:154690) Salt Lake City, UT
IA
 09/07/2017 - 12/02/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SALT LAKE CITY, UT
B
 09/06/2017 - 12/02/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SALT LAKE CITY, UT
IA
 03/17/2015 - 07/12/2017 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) DRAPER, UT
IA
 03/17/2015 - 07/12/2017 TD AMERITRADE, INC. (CRD#:7870) DRAPER, UT
B
 01/22/2015 - 07/12/2017 TD AMERITRADE, INC. (CRD#:7870) DRAPER, UT
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.