LS
Lisa F. Stavsky
WESBANCO SECURITIES
Wheeling, WV 26003
Some features on this profile are disabled
CRD#: 1749197
LS
Professional summary
Lisa Finkelstein Stavsky, who also goes by Lisa Pam Finkelstein, Lisa Pam Stavsky, is a registered financial advisor currently at WESBANCO SECURITIES, INC. located in Wheeling, West Virginia.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Lisa has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Pam Finkelstein | Lisa Pam Stavsky
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.
My husband and son have formed and OH LLC, 11-30-22: Stavsky Rentals: Entity will invest in real estate for the purpose of rental income: I will not receive any direct income from this and have no financial interest in the business: I will have 0% time working on this business: my husband and I file joint income taxes. Ohio Foundation of Independent Colleges: Board of Trustees: 10 hours per year: Unpaid Position Columbus Jewish Historical Society: Treasurer, Executive Board Member: 30 hours per year: Unpaid Position Beth Jacob Sisterhood: Treasurer, Executive Board Member:1 - 2 hours per year (this organization is not very active): Unpaid Position ** All 3 organizations are based in Columbus, OH.**
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Finkelstein Stavsky's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Finkelstein Stavsky's 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®
NoneExperience
Current
April 5, 2019 - Present
WESBANCO SECURITIES, INC.
Office #1: Wesbanco Securities Inc 1 Bank Plaza, Wheeling, WV 26003Office #2: 2710 E Main St, Bexley, OH 43209RIA
BD
CRD#: 43276
Wheeling, WV
Current
April 5, 2019 - Present
WESBANCO SECURITIES, INC.
Office #1: Wesbanco Securities Inc 1 Bank Plaza, Wheeling, WV 26003Office #2: 2710 E Main St, Bexley, OH 43209RIA
BD
CRD#: 43276
Wheeling, WV
Past
June 20, 2016 - March 19, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
DUBLIN, OH
Past
June 20, 2016 - March 19, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DUBLIN, OH
Past
November 13, 2009 - June 9, 2016
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
HORSHAM, PA
Past
November 13, 2009 - June 9, 2016
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
HORSHAM, PA
Past
January 1, 2000 - November 13, 2009
NATCITY INVESTMENTS, INC.
RIA
CRD#: 17490
COLUMBUS, OH
Past
August 30, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
August 3, 1998 - September 1, 1999
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
March 20, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
June 1, 1996 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
COLUMBUS, OH
Past
March 8, 1993 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
BD
CRD#: 17365
Past
December 4, 1991 - January 22, 1993
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
July 11, 1991 - November 26, 1991
BALIS & ZORN INC.
BD
CRD#: 7711
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WS
WESBANCO SECURITIES, INC.
COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
RIA
Registered Investment Advisory firm - SEC (12/8/2020 Approved)Indiana
Registered Investment Advisory firm - SEC (1/8/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/22/2020 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)West Virginia
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Indiana(4/5/2019)
IAR
Indiana(4/5/2019)
RR
Kentucky(4/5/2019)
RR
Maryland(1/31/2023)
RR
Ohio(4/5/2019)
IAR
Ohio(4/5/2019)
RR
Pennsylvania(4/5/2019)
RR
West Virginia(4/5/2019)
IAR
West Virginia(4/15/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WS
WESBANCO SECURITIES, INC.
COMMBANC INVESTMENTS, INC. | WESBANCO SECURITIES, INC.
CRD#: 43276 / SEC#: 801-119845, 8-50220
RIA
Registered Investment Advisory firm - SEC (12/8/2020 Approved)Indiana
Registered Investment Advisory firm - SEC (1/8/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/22/2020 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/23/2020 Terminated)West Virginia
Registered Investment Advisory firm - SEC (12/31/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
135 West Main St, St Clairsville, OH 43950
Mailing Address
1 Bank Plaza, Wheeling, WV 26003
Phone number
(304) 905-7215
Established
Ohio since 10/03/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
100
SEC notice filing (25 States and Territories)
FINRA licenses (28 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESBANCO INC. | OWNER | |
| CONNER, JAMES LEROY | FINOP | 5339285 |
| GARDILL, JAMES C | COUNSEL | |
| JACKSON, JEFF | DIRECTOR | 7692472 |
| LOVE, SCOTT ALAN | DIRECTOR | 2854247 |
| LUZAR, JAY MICHAEL | DIRECTOR | |
| PERKINS, MICHAEL L | DIRECTOR | 7531438 |
| STAVSKY, LISA FINKELSTEIN | DIRECTOR - MANAGING DIRECTOR/PRESIDENT/CEO | 1749197 |
| WILSON, ROSE LYNN | CCO, MANAGING DIRECTOR OF COMPLIANCE & DIRECTOR | 4072715 |
| ZATTA, JAY | DIRECTOR | 7693273 |
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 166,458,070 |
Disclosures
| Regulatory Event | 1 |
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.
