Lisa M. Gottardo
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 Gottardo, who also goes by Lisa Marie Wroblewski, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1991. Lisa had worked at 5 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
April 14, 2014 - February 13, 2015
IMPERIAL CAPITAL, LLC
March 28, 2011 - August 5, 2013
BRICKELL GLOBAL MARKETS, INC.
January 17, 2001 - March 24, 2003
BANC OF AMERICA SECURITIES LLC
July 6, 1994 - March 15, 2000
CREDIT SUISSE SECURITIES (USA) LLC
October 2, 1991 - June 20, 1994
GOLDMAN SACHS & CO. LLC
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
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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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