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LA

Lisa G. Anderson

BROOKFIELD PRIVATE ADVISORS LLC
NEW YORK, NY 10281-1021
Some features on this profile are disabled
CRD#: 1921993
LA

Professional summary

Lisa Gay Anderson, who also goes by Lisa A Watkinson, Lisa Anderson Watkinson, Lisa Gay Watkinson, is a registered financial professional currently at BROOKFIELD PRIVATE ADVISORS LLC located in New York, New York.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 1989. Lisa has worked at 12 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa A Watkinson | Lisa Anderson Watkinson | Lisa Gay Watkinson

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 Gay Anderson'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®
None

Experience

Current

January 20, 2017 - Present

BROOKFIELD PRIVATE ADVISORS LLC

Office #1: Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
BD
CRD#: 151423
NEW YORK, NY
Past

July 10, 2009 - March 14, 2013

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 22, 2008 - May 13, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

August 17, 2005 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 17, 2002 - August 19, 2005

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

August 1, 1997 - January 25, 1999

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

July 22, 1996 - June 6, 1997

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 1, 1996 - July 12, 1996

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

January 21, 1994 - April 1, 1996

CHASE SECURITIES, INC.

BD
CRD#: 10793
NEW YORK, MD
Past

June 29, 1992 - December 21, 1993

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY
Past

August 23, 1989 - April 29, 1992

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

February 14, 1989 - September 5, 1989

FIRST USA CAPITAL MARKETS, INC.

BD
CRD#: 10742
DALLAS, TX

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
New York
(1/27/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/26/2017
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 3
Date: 11/3/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BP
BROOKFIELD PRIVATE ADVISORS LLC
BROOKFIELD FINANCIAL | GLOBAL CLIENT GROUP | BROOKFIELD PRIVATE ADVISORS LLC | BROOKFIELD FINANCIAL US, LLC

CRD#: 151423 / SEC#: , 8-68370

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

Main Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Mailing Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Phone number
(212) 417-7000
Established
Delaware since 07/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKFIELD US INC.MEMBER
BECK, RAFAELCFO & FINANCIAL OPERATIONS PRINCIPAL5718571
LEVI, DAVID WILLIAMCEO AND DIRECTOR2387908
SELIG, PHILIP SCOTTCHIEF COMPLIANCE OFFICER4593048
SRULOWITZ, MARKDIRECTOR6555246

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

BROOKFIELD PRIVATE ADVISORS LLC

CRD#: 151423New York, NY 10281-1021

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