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HL

Holly S. Liss

BTG PACTUAL US CAPITAL
New York, NY 10022-6831
Some features on this profile are disabled
CRD#: 1731303
HL

Professional summary

Holly Sue Liss, who also goes by Holly Sue Liss, Holly Liss, Holly Sue Sherman, is a registered financial professional currently at BTG PACTUAL US CAPITAL, LLC located in New York, New York.

Holly is registered as a RR (Registered Representative) and started their career in finance in 1998. Holly has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Holly Sue Liss | Holly Liss | Holly Sue Sherman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Holly Sue Liss's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 19, 2024 - Present

BTG PACTUAL US CAPITAL, LLC

Office #1: 601 Lexington Avenue 57th Floor, New York, NY 10022-6831
BD
CRD#: 149486
New York, NY
Past

October 3, 2022 - June 20, 2024

CANACCORD GENUITY LLC

BD
CRD#: 1020
CHICAGO, IL
Past

June 1, 2015 - September 28, 2022

BTIG, LLC

BD
CRD#: 122225
CHICAGO, IL
Past

July 2, 2014 - February 20, 2015

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
CHICAGO, IL
Past

February 7, 2012 - May 28, 2013

ABN AMRO CLEARING USA LLC

BD
CRD#: 14020
CHICAGO, IL
Past

July 18, 2003 - January 30, 2012

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 22, 1999 - July 16, 2003

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

May 28, 1998 - March 19, 1999

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(11/27/2024)
RR
Illinois
(11/27/2024)
RR
New York
(11/27/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/27/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/18/1987
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BTG PACTUAL US CAPITAL, LLC
BTG CAPITAL CORP. | BTG SECURITIES CORPORATION | BTG PACTUAL WEALTH MANAGEMENT | BTG PACTUAL US CAPITAL, LLC | BTG PACTUAL US CAPITAL LLC | BTG PACTUAL US CAPITAL CORP. | BTG PACTUAL US

CRD#: 149486 / SEC#: , 8-68148

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
601 Lexington Avenue 57th Floor, New York, NY 10022-6831
Mailing Address
601 Lexington Avenue 57th Floor, New York, NY 10022-6831
Phone number
(212) 293-4600
Established
Delaware since 05/07/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BTG PACTUAL NY CORPORATIONMANAGING MEMBER
CAMPOS, LUCIANACHIEF FINANCIAL OFFICER/FINOP5875481
LIMA PONTES, GUSTAVOCHIEF OPERATING OFFICER5910623
MORITZ CAVALCANTI, RENATOCO-CEO7626573
PARK, DEAN SANG YOONCHIEF COMPLIANCE OFFICER4096412
TENENTE, ADRIANO FERNANDESCO-CEO5248572

Disclosures

Regulatory Event2

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.

Company Information

BTG PACTUAL US CAPITAL, LLC

CRD#: 149486New York, NY 10022-6831

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