Robert Lisi
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.
Robert Lisi was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 7 firms and has passed the Series 63, SIE 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
October 30, 2013 - March 8, 2017
CLSA AMERICAS, LLC
April 4, 2006 - September 1, 2009
CREDIT AGRICOLE SECURITIES (USA) INC.
April 6, 2000 - March 15, 2005
FIRST NEW YORK SECURITIES L.L.C.
January 27, 1995 - April 19, 2000
BNP PARIBAS SECURITIES CORP.
February 8, 1993 - November 29, 1994
KIDDER, PEABODY & CO. INCORPORATED
October 24, 1990 - December 15, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 21, 1984 - May 8, 1989
BURNS FRY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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