Lisa was born in Indianapolis, Indiana, then moved to upstate New York when she turned 10 where she stayed for 13 years. She began her career in the financial services industry with Chase Manhattan Bank in Rochester, NY, directly from college. She began offering an innovative, non-deposit investment product. It was during her tenure at Chase that she began working for the broker/dealer side of the business and is still building her tenure of 20+ years in the industry. Lisa’s career includes securities-based firms, insurance-based firms, banks and credit unions, giving her a broad base of knowledge which she continues to tap into to serve Thurston Springer (TS).
Lisa continues to streamline the process for transitioning financial advisors, taking much of the burden and worry from the shoulders of the advisors that select Thurston Springer as their choice of broker-dealer, registered investment advisor firms. Lisa has a proven record in building, implementing and maintaining an effective compliance program in which sales people are at the heart of what we do. She strives to provide excellence in a dynamic work environment. Her areas of skill and expertise include being a leader of compliance, operations, supervision, development & management of people, budgeting & expense management and technology.
Lisa’s current licenses and registrations are:
Series 24 General Securities Principal
Series 53 Municipal Securities Principal
Series 99 Operations Professional
Series 7 General Securities NYSE/FINRA Registered Representative
Series 65 Investment Advisor Law Exam
Series 63 Uniform Securities Agent
Indiana Life, Accident & Health Insurance, Variable Annuities