Lisa M. Kelly
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 Marie Kelly, who also goes by Lisa M Gold, Lisa Marie Gold, Lisa Marie Gonzalez, Lisa M Kelly, Lisa Marie Pagan, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1996. Lisa had worked at 8 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
June 4, 2012 - October 15, 2015
GILFORD SECURITIES INCORPORATED
June 1, 2012 - October 15, 2015
GILFORD FINANCIAL CORP.
August 3, 2009 - June 22, 2010
CHASE INVESTMENT SERVICES CORP.
June 23, 2009 - June 22, 2010
CHASE INVESTMENT SERVICES CORP.
December 10, 2004 - June 27, 2005
CANTOR FITZGERALD & CO.
April 6, 2004 - September 20, 2007
CANTOR FITZGERALD & CO.
October 2, 2003 - October 13, 2006
CANTOR FITZGERALD SECURITIES
October 23, 2002 - October 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 23, 2002 - October 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 30, 2001 - November 1, 2001
EQUITABLE ADVISORS, LLC
January 31, 1996 - October 20, 2000
PERSHING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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