Lisa A. Robb
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 A Robb, who also goes by Lisa Ann Contillo, Lisa Ann Robb, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1989. Lisa had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2017 - April 23, 2018
ALLIANCEBERNSTEIN L.P.
June 20, 2016 - April 23, 2018
SANFORD C. BERNSTEIN & CO., LLC
June 12, 2013 - November 12, 2014
CHARLES SCHWAB & CO., INC.
June 28, 2010 - April 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2008 - January 30, 2009
LIBERTY GROUP, LLC
April 18, 2006 - April 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 18, 2006 - April 10, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 7, 2004 - July 5, 2005
ZIONS CAPITAL ADVISORS, INC.
January 28, 1999 - September 10, 2004
UBS FINANCIAL SERVICES INC.
March 20, 1998 - September 10, 2004
UBS FINANCIAL SERVICES INC.
December 23, 1992 - March 27, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 1990 - November 25, 1992
OSAIC WEALTH, INC.
November 19, 1989 - August 20, 1990
OSAIC WEALTH, INC.
June 20, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
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
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 10/27/2023 |
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.
