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LK

Lisa B. Kaufman

DINAN CAPITAL ADVISORS
Nashville, TN 37215
Some features on this profile are disabled
CRD#: 2182953
LK

Professional summary

Lisa Beth Kaufman MS., who also goes by Lisa Beth Kaufman, is a registered financial professional currently at DINAN CAPITAL ADVISORS located in Nashville, Tennessee.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 1992. Lisa has worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Beth Kaufman

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lisa Beth Kaufman MS.'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®
None

Experience

Current

February 2, 2017 - Present

DINAN CAPITAL ADVISORS

Office #1: 40 Burton Hills Boulevard Suite 200, Nashville, TN 37215
BD
CRD#: 157327
Nashville, TN
Past

March 7, 2016 - December 5, 2016

PEAKSTONE SECURITIES, LLC

BD
CRD#: 157146
Chicago, IL
Past

September 11, 2015 - December 16, 2015

OCTAGON CAPITAL GROUP, LLC

BD
CRD#: 173341
SHORT HILLS, NJ
Past

June 4, 2014 - May 12, 2015

M&A SECURITIES GROUP, INC.

BD
CRD#: 39999
KANSAS CITY, MO
Past

October 1, 1998 - March 15, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 7, 1995 - October 1, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

February 18, 1992 - April 3, 1995

CONTINENTAL PARTNERS INC

BD
CRD#: 29076
CHICAGO, IL

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
Arizona
(2/2/2017)
RR
Illinois
(2/3/2017)
RR
Tennessee
(1/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/6/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/3/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/19/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DC
DINAN CAPITAL ADVISORS
CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS | DCCA SECURITIES, LLC

CRD#: 157327 / SEC#: , 8-68847

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589
Mailing Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589
Phone number
(855) 955-1500
Established
Arizona since 02/16/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DINAN & COMPANY, LLCMEMBER / MANAGER
DINAN, MICHAEL ANTHONYCEO, PRINCIPAL1598465
KELLY, JOHN GREGORYEVP, PRINCIPAL5651780
MAIN, THOMAS BENNETTSVP, PRINCIPAL5912844
MARTINEZ, NANCY DINANCCO5912831
MILLER, DAVID WELLSCFO-FINOP334612

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.

Company Information

DINAN CAPITAL ADVISORS

CRD#: 157327Nashville, TN 37215

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