Alice A. Lustig
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.
Alice Ann Lustig was a registered financial professional .
Alice is a previously registered financial professional and started their career in finance in 1994. Alice had worked at 9 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2017 - June 15, 2018
RACE ROCK CAPITAL LLC
March 21, 2016 - March 7, 2017
ZANBATO SECURITIES LLC
October 2, 2015 - March 24, 2016
INTE SECURITIES LLC
January 2, 2015 - July 14, 2015
SG AMERICAS SECURITIES, LLC
August 25, 2010 - January 2, 2015
NEWEDGE USA, LLC
April 9, 2010 - May 21, 2010
SPOUTING ROCK CAPITAL ADVISORS, LLC
February 20, 2008 - October 31, 2008
SPARX SECURITIES, USA, LLC
November 6, 2007 - February 21, 2008
WYSER-PRATTE & CO., INC.
February 24, 1994 - June 9, 1997
NOMURA SECURITIES INTERNATIONAL, 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
Current Firm
RACE ROCK CAPITAL LLC
CRD#: 153363 / SEC#: , 8-68528
Contact information
FINRA licenses (9 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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