Lisa M. Nelson
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 Nelson, who also goes by Lisa Marie Dimberio, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1993. Lisa had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2015 - August 30, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 17, 2015 - August 30, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 2, 2006 - December 31, 2013
IC ADVISORY SERVICES, INC.
March 26, 2001 - June 2, 2006
THE INVESTMENT CENTER, INC.
January 2, 2001 - December 31, 2013
THE INVESTMENT CENTER, INC.
December 18, 1996 - December 31, 2000
NEXT ADVISORS INC.
February 2, 1995 - December 4, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 8, 1993 - December 31, 1994
CARILLON INVESTMENTS, 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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
