Alisa C. Badolato
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.
Alisa C. Badolato, who also goes by Alisa Christine Badolato, Alisa C Plumer, Alisa Christine Plumer, Lisa C. Plumer, was a registered financial professional .
Alisa is a previously registered financial professional and started their career in finance in 1991. Alisa had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2013 - November 24, 2017
SEAPORT GLOBAL SECURITIES LLC
December 1, 2010 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
September 15, 2008 - October 28, 2010
KNIGHT LIBERTAS LLC
February 11, 2002 - March 1, 2002
MARKET AXESS INC.
February 11, 2002 - September 15, 2008
MARKETAXESS CORPORATION
September 15, 2000 - August 23, 2001
VISIBLE MARKETS, INC.
September 15, 2000 - June 26, 2002
TRADEWEB LLC
February 21, 1991 - March 19, 1999
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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