Lisa M. Montabone
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 Marie Montabone, who also goes by Lisa Marie Fisette, Lisa Marie Montarone, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1983. Lisa had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2019 - December 22, 2022
TRADEWEB DIRECT LLC
October 11, 2011 - September 16, 2019
DEALERWEB LLC
April 18, 2005 - October 10, 2011
RAFFERTY CAPITAL MARKETS, LLC
June 17, 2002 - February 18, 2005
MUNICIPAL PARTNERS, LLC
December 1, 2000 - August 8, 2002
CANTOR FITZGERALD & CO.
July 24, 2000 - August 8, 2002
MINT BROKERS
June 23, 1992 - July 24, 2000
MUNICIPAL PARTNERS INC.
January 25, 1991 - June 26, 1992
MINT BROKERS
June 5, 1990 - January 25, 1991
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
July 21, 1987 - June 5, 1990
J.J. KENNY DRAKE, INC.
July 11, 1985 - May 13, 1986
GFC SECURITIES CORPORATION
May 26, 1983 - September 27, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
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.
