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Lisabeth Backus Karas

CRD# 1062814·Registered 1982 - 2015
Previously Registered: Being a previously registered professional could mean that Lisabeth is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Lisabeth Backus Karas, who also goes by Betse Backus, Lisabeth Ann Backus, was a registered financial advisor. Lisabeth was a previously registered financial professional and started their career in finance 1982 - 2015. Lisabeth had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Betse Backus, Lisabeth Ann Backus

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

SRT SECURITIES LLC·CRD# 33725
BD
Birmingham, MI
May 1, 2007 - January 12, 2015
LEK SECURITIES CORPORATION·CRD# 33135
BD
New City, NY
March 31, 2006 - May 2, 2007
TD PRIME SERVICES LLC·CRD# 1914
BD
New York, NY
September 10, 2004 - March 30, 2006
LEK SECURITIES CORPORATION·CRD# 33135
BD
New City, NY
September 29, 2003 - January 3, 2005
LABRANCHE FINANCIAL SERVICES, LLC·CRD# 7432
BD
New York, NY
July 24, 2002 - October 1, 2003
LL PARTNERS, INC.·CRD# 32189
BD
New York, NY
May 22, 2002 - May 1, 2007
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
October 4, 1994 - January 21, 1999
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
November 24, 1982 - March 5, 1990

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Current Firm

SS
SRT SECURITIES LLC

ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: 8-34415
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

416 Hawthorne Street, Birmingham, MI 48009

Mailing Address

416 Hawthorne Street, Birmingham, MI 48009

Phone Number

(917) 282-4757

Established

Delaware since 05/24/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (24 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
SRT SECURITIES INC.MEMBER—
FRUCHTER, MICHAEL ALANCFO/FINANCIAL & OPERATIONS PRINCIPAL4202965
TOBIAS, STEPHEN RORYPRESIDENT, CCO, S.R.O.P. & C.R.O.P.1267337

Disclosures

Regulatory Event

26

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2010About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jan 2015About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Aug 1986About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Nov 1982About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Oct 2005About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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