Lisa D. Cali
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 Dianne Cali, who also goes by Lisa Diane Klein, Lisa Dianne Klein, Lisa Diane Nagle, Lisa Dianne Nagle, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1988. Lisa had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2020 - September 15, 2021
CAPITAL ONE SECURITIES, INC.
January 2, 2015 - August 7, 2017
CAPITAL ONE INVESTING, LLC
August 13, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
May 22, 2009 - August 21, 2014
DAVID LERNER ASSOCIATES, INC.
July 17, 2000 - May 19, 2009
ESSEX NATIONAL SECURITIES, LLC
November 27, 1996 - July 6, 2000
ESSEX NATIONAL SECURITIES, LLC
July 8, 1993 - July 5, 2000
LASALLE FINANCIAL SERVICES, INC.
May 6, 1993 - July 8, 1993
EAB SECURITIES, INC.
November 2, 1990 - April 22, 1993
GRAYSON FINANCIAL LLC
March 2, 1989 - November 26, 1990
ROBERT TODD FINANCIAL CORP.
August 23, 1988 - March 16, 1989
INDIVIDUAL'S SECURITIES LTD.
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
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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