Lisa T. Vicital
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 T Vicital, who also goes by Lisa Teresa VIcital, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1984. Lisa had worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 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, 2003 - January 6, 2021
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
February 18, 2000 - November 24, 2003
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.
October 31, 1997 - August 20, 1999
AUDOBON SECURITIES, INC.
April 10, 1991 - February 26, 1996
AUDOBON SECURITIES, INC.
May 14, 1988 - August 8, 1990
LEHMAN BROTHERS INC.
November 8, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
September 20, 1984 - May 3, 1985
LEHMAN BROTHERS INC.
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
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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