Lisa Y. Pope
Professional summary
Lisa Yvette Pope, who also goes by Lisa Yvette Zelaya, is a registered financial professional currently at CTC, LLC located in Chicago, Illinois.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1992. Lisa has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Yvette Pope's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2011 - Present
CTC, LLC
Office #1: 425 S. Financial Place 4th Floor, Chicago, IL 60605Office #2: 425 S. Financial Place 4th Floor, Chicago, IL 60605December 6, 2012 - December 12, 2013
CTC XS, LLC
August 3, 1995 - October 20, 1997
HSBC SECURITIES (USA) INC.
June 10, 1994 - April 5, 1995
WELLS FARGO CLEARING SERVICES, LLC
June 10, 1992 - August 25, 1992
MORGAN STANLEY DW 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
Series 99TO
Date: 12/20/2024
Operations Professional ExaminationBOX Exchange LLC
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
CTC, LLC
CRD#: 44597 / SEC#: , 8-50758
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
Red Flags
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