Lisa M. Rossi
GLADSTONE WEALTH PARTNERS
PURCHASE, NY 10577
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CRD#: 2261138
Professional summary
Lisa M Rossi, CFP®, who also goes by Lisa M Defeo, Lisa Defeo, Lisa Defeo Rossi, is a registered financial advisor currently at GLADSTONE WEALTH PARTNERS located in Purchase, New York.
Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Lisa has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa M Defeo | Lisa Defeo | Lisa Defeo Rossi
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.
1) 06/19/2016 - Kipps Consulting LLC - Business Entity For Tax/Investment Purposes Only - at reported business location(s) - non-inv rel - start: 05/01/2005 - 5 hr/mth 2) 06/19/2016 - Non-Variable Insurance Trails only - 6 Kipps Ct Somers, NY 10589 - Non-variable insurance trails only from LEXCO Advisor Solutions, Mass Mutual, Penn Mutual, and Hartford - 3) 06/19/2016 - Lisa Rossi - Non-Variable Insurance - start: 06/01/2016 - 5 hr/mth 4) 06/19/2016 - Real Estate Rental - 7747 Cottesmore Dr Naples, FL 34119 - non-inv rel - 5 hr/mth 5) 11/10/2020 - Stratos Wealth - Investment Related - 2975 Westchester Ave, Purchase NY 10577 - Real Estate Rental - Started 10/01/2020 - 0 Hours Per Month - Office rental for an advisor. 6 ) 07/2021 - Symmetry Wealth Advisory Group, LLC - Registered Investment Advisor DBA - At Reported Business Location - Investment Related - 160 hours/month During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Lisa M Rossi'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®
CFP®
Start date: 2004
Experience
Current
January 4, 2021 - Present
GLADSTONE WEALTH PARTNERS
Office #1: 2975 Westchester Ave Ste 204, Purchase, NY 10577RIA
CRD#: 250787
PURCHASE, NY
Past
December 11, 2020 - December 23, 2020
STRATOS WEALTH ADVISORS LLC
RIA
CRD#: 283816
PURCHASE, NY
Past
June 28, 2016 - January 5, 2021
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
PURCHASE, NY
Past
June 28, 2016 - December 23, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
PURCHASE, NY
Past
June 10, 2005 - June 29, 2016
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
GREENWICH, CT
Past
April 29, 2005 - June 29, 2016
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
GREENWICH, CT
Past
March 7, 2001 - May 5, 2005
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
March 17, 1998 - May 5, 2005
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
January 2, 1997 - April 6, 1998
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
January 2, 1996 - December 31, 1996
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
May 19, 1995 - December 31, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
Past
December 14, 1992 - May 23, 1995
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
Registered Investment Advisory firm - (7/28/2015 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Louisiana(1/4/2021)
IAR
New York(3/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
GW
GLADSTONE WEALTH PARTNERS
AFFINITY WEALTH MANAGEMENT GROUP | WHITE OAK WEALTH PARTNERS | WEALTH FORMAT SYSTEMS, LLC. | TRUE VISION FINANCIAL ADVISORS | THE TEMPLAR FINANCIAL GROUP, LLC | THE CHOICE GROUP | SYMMETRY WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISORY GROUP | STRATOS WEALTH ADVISOR GROUP | SSNA WEALTH | SILVERLEAF WEALTH MANAGEMENT | PUZZLE WEALTH SOLUTIONS, LLC | PUZZLE WEALTH SOLUTIONS LLC | PUZZLE WEALTH PARTNERS | PUZZLE ICS | PRIVATE WEALTH GROUP | PLATINUM WEALTH ADVISORS | PINNACLE WEALTH MANAGEMENT | PERSPECTIVE WEALTH PLANNING | PEAK WEALTH PARTNERS | PALMIERI FINANCIAL GROUP | MCKEE WEALTH MANAGEMENT INC. | MCKEE FINANCIAL, LLC | MCKEE FINANCIAL RESOURCES, INC | MCKEE FINANCIAL RESOURCES INC. | MASTRODIMOS WEALTH GROUP | LIMESTONE FINANCIAL GROUP | LAU WEALTH MANAGEMENT | KEY FINANCIAL ADVISORS, LLC | JOCKEY HOLLOW FINANCIAL SERVICES, LLC | IRUS WEALTH MANAGEMENT | INVESTMENT BY PLANNERS | INTEGRITY WEALTH | INTEGRITY POINT ADVISORS | HOFFMAN FINANCIAL STRATEGIES | HENRY AND HANNAY WEALTH MANAGEMENT | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | HEALTH MEETS WEALTH ADVISORS | GREEN RIDGE WEALTH PLANNING | GLADSTONE WEALTH PARTNERS | GLADSTONE WEALTH GROUP | GLADSTONE INSTITUTIONAL ADVISORY LLC | GLADSTONE CAPITAL MANAGEMENT | FREEDOM INVESTMENT MANAGEMENT GROUP | FOCUSED WEALTH, LLC. | CARBON WEALTH MANAGEMENT INC. | BLUESTONE WEALTH ADVISORS | AVANCE PRIVATE WEALTH MANAGEMENT | AURORA WEALTH ADVISORS | AS WEALTH MANAGEMENT LLC | AFFLUENT WEALTH CONSULTING LLC
CRD#: 250787 / SEC#: 801-101532
RIA
Registered Investment Advisory firm - (7/28/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2000 Pga Blvd. Suite 4440, Palm Beach Gardens, FL 33408
Mailing Address
1545 Us-206 Suite 300, Bedminster, NJ 07921
Phone number
(908) 719-1313
Established
Firm type
Fiscal year end
# of Employees
163
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,810 |
| AUM (Assets Under Management) | $ 4,943,971,956 |
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.
