Lisa A. Curcio
Professional summary
Being a previously registered professional could mean that this person 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.
Lisa Ann Curcio, who also goes by Lisa Redman Curcio, Lisa Ann Redman, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1984. Lisa had worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2005 - May 2, 2022
ROYCE FUND SERVICES, LLC
September 8, 2000 - February 26, 2001
LORD ABBETT DISTRIBUTOR LLC
June 27, 1985 - September 5, 2000
LEXINGTON FUNDS DISTRIBUTOR, INC.
January 30, 1984 - August 7, 1985
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ROYCE FUND SERVICES, LLC
CRD#: 14470 / SEC#: , 8-28663
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYCE & ASSOCIATES, LP | MEMBER | |
| CLARK, CHRISTOPHER DEWITT | PRESIDENT, SUPERVISORY PRINCIPAL | 1735713 |
| DENNEEN, JOHN EDWARD | SECRETARY, GENERAL COUNSEL | 4324430 |
| GANNON, FRANCIS DOYLE | VICE PRESIDENT | 2420802 |
| PALASITS, THOMAS R | TREASURER, FINANCIAL & OPERATIONS PRINCIPAL | 1675575 |
| WILSON, DAVID BERTRAND | CHIEF COMPLIANCE OFFICER | 5780721 |
Red Flags
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.
