Lisa D. Demic
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 Denise Demic, who also goes by Lisa D Biscotti, Lisa Denise Biscotti, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1989. Lisa had worked at 6 firms and has passed the Series 65, 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
September 16, 2015 - September 3, 2024
AQUILA DISTRIBUTORS LLC
September 19, 2014 - September 18, 2015
AVANTAX INVESTMENT SERVICES, INC.
July 18, 2007 - November 5, 2013
NEUBERGER BERMAN BD LLC
July 18, 2007 - November 5, 2013
NEUBERGER BERMAN BD LLC
February 5, 1997 - July 24, 2007
LORD, ABBETT & CO. LLC
July 14, 1992 - July 24, 2007
LORD ABBETT DISTRIBUTOR LLC
April 18, 1989 - June 19, 1992
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
AQUILA DISTRIBUTORS LLC
CRD#: 1706 / SEC#: , 8-13173
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AQUILA MANAGEMENT CORPORATION | SHAREHOLDER | |
| DIMAGGIO, JOSEPH PAUL | TREASURER | 1359940 |
| FILLMORE, RANDALL SCOTT | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4188259 |
| HERRMANN, CONRAD BEADLE | MANAGER | 1370319 |
| HERRMANN, DIANA PARSONS | MANAGER | 2913698 |
| OBRIEN, PAUL GREGORY | PRESIDENT, FINANCIAL OPERATIONS PRINCIPAL & OPERATIONS PROFESSIONAL | 3129605 |
| ROSE, PAMELA CAROLINE MS. | SECRETARY | 1559550 |
| SARKANY, THOMAS THOMAS | MANAGER | 1024285 |
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.
