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LM

Lisa S. Miller

LEBENTHAL FINANCIAL SERVICES
Jericho, NY 11753
Some features on this profile are disabled
CRD#: 1907541
LM

Professional summary

Lisa Susan Miller, who also goes by Lisa Susan Becker, is a registered financial professional currently at LEBENTHAL FINANCIAL SERVICES, INC. located in Jericho, New York.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2012. Lisa has worked at 3 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Susan Becker

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 Lisa Susan Miller'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

August 31, 2022 - Present

LEBENTHAL FINANCIAL SERVICES, INC.

Office #1: 500 N. Broadway Suite 238, Jericho, NY 11753
BD
CRD#: 137988
Jericho, NY
Past

September 11, 2017 - July 18, 2022

VANDERBILT SECURITIES, LLC

BD
CRD#: 5953
WOODBURY, NY
Past

October 16, 2012 - August 18, 2017

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/15/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

LF
LEBENTHAL FINANCIAL SERVICES, INC.
BRISTOL FINANCIAL SERVICES, INC | LEBENTHAL FINANCIAL SERVICES, INC.

CRD#: 137988 / SEC#: , 8-67140

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
500 N. Broadway Suite 238, Jericho, NY 11753
Mailing Address
500 N. Broadway Suite 238, Jericho, NY 11753
Phone number
(516) 349-5555
Established
New York since 07/13/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 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#
HARTZMAN, MICHAEL AVERYPRESIDENT, EXECUTIVE REP., CHIEF COMPLIANCE OFFICER OF INVESTMENT ADVISORY, MUNICIPAL PRINCIPAL, OPTIONS PRINCIPAL2216133
TAVELLA, DOMINICKOWNER1069864
MASON, RANDI PATRICECHIEF COMPLIANCE OFFICER722302
SAKOL, DANIEL SCOTTFINOP2813237

Disclosures

Regulatory Event1

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

LEBENTHAL FINANCIAL SERVICES, INC.

CRD#: 137988Jericho, NY 11753

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