Lisa M. Broccolino
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 Broccolino, who also goes by Lisa Marie Ruff, Lisa Ruff, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1990. Lisa had worked at 9 firms and has passed the Series 63, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - October 9, 2012
INVESTORS CAPITAL CORP.
July 28, 2003 - October 6, 2010
NEXT FINANCIAL GROUP, INC.
December 17, 2002 - July 28, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 7, 2000 - December 18, 2002
NATHAN & LEWIS SECURITIES, INC.
January 4, 1999 - December 31, 1999
MEDALLION INVESTMENT SERVICES, INC.
February 6, 1998 - December 31, 1998
SECURITIES SERVICE NETWORK, LLC
May 12, 1995 - July 16, 1997
ALLFIRST BROKERAGE CORPORATION
April 21, 1994 - April 13, 1995
BANC OF AMERICA SECURITIES LLC
February 5, 1990 - April 15, 1994
MNB BROKERAGE ALTERNATIVE, INC.
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
Series 62
Date: 10/23/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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