Lisa M. Westley
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 Mashihara Westley, who also goes by Lisa Miya Mashihara, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1991. Lisa had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7 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
August 30, 2016 - October 1, 2019
BROOKLANDS CAPITAL STRATEGIES BD, LP
June 4, 2014 - October 13, 2016
TPG CAPITAL BD, LLC
May 13, 2003 - August 13, 2004
COWEN AND COMPANY
February 9, 1999 - September 24, 2003
THOMAS WEISEL PARTNERS LLC
October 1, 1997 - January 21, 1999
BANC OF AMERICA SECURITIES LLC
April 7, 1994 - October 1, 1997
MONTGOMERY SECURITIES
September 25, 1991 - February 25, 1994
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKLANDS CAPITAL STRATEGIES BD, LP
CRD#: 281951 / SEC#: , 8-69696
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKLANDS CAPITAL STRATEGIES MANAGEMENT, L.P. | LIMITED PARTNER | |
| BROOKLANDS CAPITAL STRATEGIES (GP), LLC | GENERAL PARTNER | |
| CARROLL, DANIEL ASHTON | MANAGING PARTNER | 1549544 |
| DEMAYO, JILL ELLEN | CHIEF COMPLIANCE OFFICER | 2843305 |
| EKBERG, JEFFERY DAVID | FINOP | 6499537 |
| MCMILLAN, PETER HAMIL | CEO & MANAGING PARTNER | 1148731 |
Red Flags
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