LK
Lisa A. Kauffman
LEERINK PARTNERS LLC
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 2055931
LK
Professional summary
Lisa Ann Kauffman is a registered financial professional currently at LEERINK PARTNERS LLC located in New York, New York.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1990. Lisa has worked at 7 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Lisa Ann Kauffman'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®
NoneExperience
Current
September 10, 2012 - Present
LEERINK PARTNERS LLC
Office #1: 1301 Avenue Of The Americas 5th Floor, New York, NY 10019BD
CRD#: 39011
NEW YORK, NY
Past
April 10, 2008 - May 26, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 14, 2008 - April 10, 2008
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
May 18, 2004 - January 14, 2008
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
September 25, 2003 - March 15, 2004
TAHOE TRADING, LLC
BD
CRD#: 45549
NEW YORK, NY
Past
October 1, 2000 - August 9, 2002
SIG BROKERAGE, LP
BD
CRD#: 100400
NEW YORK, NY
Past
June 21, 1990 - December 22, 1997
SIG SPECIALISTS, INC.
BD
CRD#: 21831
NEW YORK, NY
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
California(9/10/2012)
RR
Connecticut(9/10/2012)
RR
Delaware(9/10/2012)
RR
District of Columbia(9/10/2012)
RR
Florida(9/10/2012)
RR
Illinois(9/10/2012)
RR
Maine(4/17/2014)
RR
Massachusetts(9/10/2012)
RR
Minnesota(9/10/2012)
RR
New Jersey(9/10/2012)
RR
New York(9/10/2012)
RR
North Carolina(10/16/2019)
RR
Oklahoma(12/5/2023)
RR
Pennsylvania(9/10/2012)
RR
Texas(9/10/2012)
RR
Virginia(9/10/2012)
RR
Wisconsin(10/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/1/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
LP
LEERINK PARTNERS LLC
LEERINK | SVB SECURITIES LLC | SVB LEERINK LLC | LEERINK, SWANN, GARRITY, SOLLAMI, YAFFE & WYNN, INC. | LEERINK SWANN LLC | LEERINK SWANN & COMPANY | LEERINK SWANN & CO., INC. | LEERINK PARTNERS, LLC | LEERINK PARTNERS LLC | LEERINK PARTNERS | LEERINK & CO., INC.
CRD#: 39011 / SEC#: 801-68264, 8-48535
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
53 State Street 40th Floor, Boston, MA, 02109
Mailing Address
53 State Street 40th Floor 40th Floor, Boston, MA, 02109
Phone number
(617) 918-4900
Established
Delaware since 07/19/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEERINK INTERMEDIATE HOLDINGS LLC | MEMBER | |
| CASEY, KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | 4754440 |
| DAVIDSON, THOMAS ADAM | SENIOR MANAGING DIRECTOR | 2248233 |
| DUBIN, DANIEL BARRY | SENIOR MANAGING DIRECTOR | 3231063 |
| GENTILE, JOSEPH ROBERT | CHIEF ADMINISTRATIVE OFFICER | 2545927 |
| HEINEMAN, STEVEN P | GENERAL COUNSEL | 5386950 |
| JURKIEWICZ, GREGG MARTIN | FINOP | 4440135 |
| LEERINK, JEFFREY ALAN | CEO | 1718986 |
| OLSON, ERIC PATRICK | PRINCIPAL OPERATIONS OFFICER | 2542584 |
Disclosures
| Regulatory Event | 6 |
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.
