Lisa K. Duhamel
Professional summary
Lisa Kay Duhamel, who also goes by Lisa Kay Baker, is a registered financial professional currently at GLOBAL ATLANTIC DISTRIBUTORS, LLC located in Hartford, Connecticut.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1994. Lisa has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Kay Duhamel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2018 - Present
GLOBAL ATLANTIC DISTRIBUTORS, LLC
Office #1: One Financial Plaza 755 Main Street 24th Floor, Hartford, CT, 06103March 20, 2006 - July 13, 2017
AST INVESTMENT SERVICES, INC.
March 12, 2003 - March 24, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
July 6, 1995 - July 13, 2017
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 28, 1994 - June 22, 1995
OSAIC FS, 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
(4/3/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 11/15/2022
General Securities Representative ExaminationFINRA
Current Firm
GLOBAL ATLANTIC DISTRIBUTORS, LLC
CRD#: 8326 / SEC#: , 8-25027
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLOBAL ATLANTIC (FIN) COMPANY | OWNER | |
| BICKLER, JASON ALEXANDER | PRESIDENT AND MANAGER | 4164884 |
| MOORCROFT, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER | 4258952 |
| NELSON, PAULA GENEVIEVE | MANAGER, HEAD OF DISTRIBUTION | 2015528 |
| PAULOUSKY, MICHAEL RYAN | TREASURER | 7339297 |
| RAMOS, SAMUEL | GENERAL COUNSEL AND SECRETARY | 6722343 |
| RIP, OLGA | FINOP AND CHIEF FINANCIAL OFFICER | 5440553 |
| RUTHERFORD, KELLY JUNE | SENIOR VICE-PRESIDENT | 7282305 |
| SIEGEL, DEAN CYRUS | VICE PRESIDENT | 3224832 |
| TODD, ERIC DAVID | MANAGER | 2175308 |
| WEISS, DAVID LEE | SENIOR VICE PRESIDENT | 2345057 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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