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Lisa Harris

Chief Compliance Officer at Hildene Capital Management

No current adviser or broker registrationSEC record checked 18 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Lisa Harris is Chief Compliance Officer of Hildene Capital Management, LLC, a Stamford investment adviser managing $20.2B. Lisa Harris has passed the Series 7, Series 63, Series 24 and SIE.

Role at Hildene Capital Management

Title on Schedule A
Chief Compliance Officer
Control
Lisa Harris is a control person of Hildene Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Lisa Harris has held the filed role since June 2020.

The firm

Hildene Capital Management, LLC
Stamford, CT

Form ADV filed 27 April 2026

$20.2B AUM82 clients18 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 24 · 2017
  3. Passed Series 7 and Series 63 · 2016

Registrations and exams

No current adviser or broker registration. Lisa Harris has passed 4 qualifying exams.

Examinations

Series 638 November 2016
Name
Uniform Securities Agent State Law Examination
Series 241 March 2017
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 725 October 2016
Name
General Securities Representative Examination

Individual record

Full name
Lisa Beth Harris
CRD
6710371
Firm
Hildene Capital Management, LLC
Registration status
No current adviser or broker registration
Firm bio
hildenecap.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Hildene lists Lisa Harris as Chief Compliance Officer. Official firm biography/team page

Common questions

Where does Lisa Harris work?

Lisa Harris has been Chief Compliance Officer of Hildene Capital Management, LLC since June 2020, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 April 2026

Does Lisa Harris have a current investment-adviser registration?

Lisa Harris has no current investment-adviser or broker registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Lisa Harris passed?

Lisa Harris has passed 4 licensing exams: the Series 7, Series 63, Series 24 and SIE. The earliest, the Series 7, was passed in October 2016.

Source: IAPD individual record, checked 18 October 2026

Leadership at Hildene Capital Management

Sources

  1. IAPD individual record, CRD 6710371. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Hildene Capital Management, LLC, filed 27 April 2026. Title, control and ownership bands.
  3. Hildene Capital Management team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Lisa Harris or Hildene Capital Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.