LR
Lisa L. Roccaforte
THE MAIN STREET GROUP
Glen Allen, VA 23060
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CRD#: 2535949
LR
Professional summary
Lisa Lynn Roccaforte, CFP® is a registered financial advisor currently at THE MAIN STREET GROUP located in Glen Allen, Virginia.
Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Lisa has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
None
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.
Business Name: The Main Street Life Investment Related: Yes Address: 4510 Cox Rd Suite 102 Glen Allen VA 23060 Nature of Business: Insurance Position, Title or Relationship: agent Start Date: 3/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: sell life ins. Business Name: The Main Street Group Investment Related: Yes Address: 4510 Cox Rd Suite 102 glen Allen VA 23060 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through an independent outside RIA Position, Title or Relationship: investment advisor Start Date: 10/15/2015 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: manage clients assets Business Name: Oaktree Annuities Investment Related: Yes Address: 505 Carter Street Bristol VA 24201 Nature of Business: Insurance Position, Title or Relationship: producer Start Date: 3/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: offer fixed annuities to clients Business Name: Dixon Wells Investment Related: Yes Address: 4805 Lake Brook Dr suite 102 Glen Allen VA 23060 Nature of Business: Insurance Position, Title or Relationship: producer Start Date: 8/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: none Business Name: Hanover Financial Planning LLC Investment Related: Yes Address: 10186 Scot's Landing Rd Mechanicsville VA 23116 Nature of Business: Other Other/None of the Above pass through entity for advisory income Position, Title or Relationship: financial advisor Start Date: 3/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: pass through entity for advisory income Business Name: VANBRIDGE POSITION: producer NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 08/01/2017 ADDRESS: 1140 Avenue of the Americas, 8th floor, New York NY 10036, United States DESCRIPTION: none
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Lynn Roccaforte'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: 2005
Experience
Current
October 15, 2015 - Present
THE MAIN STREET GROUP
Office #1: 4510 Cox Road Suite 102, Glen Allen, VA 23060RIA
CRD#: 175502
Glen Allen, VA
Past
November 20, 2017 - April 1, 2025
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
GLEN ALLEN, VA
Past
February 25, 2015 - November 13, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
GLEN ALLEN, VA
Past
February 25, 2015 - November 28, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
GLEN ALLEN, VA
Past
June 1, 2008 - February 25, 2015
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
GLEN ALLEN, VA
Past
June 1, 2008 - February 25, 2015
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
GLEN ALLEN, VA
Past
October 22, 2003 - June 1, 2008
BI INVESTMENTS, LLC
RIA
CRD#: 125437
GLEN ALLEN, VA
Past
September 8, 2003 - October 16, 2003
BI INVESTMENTS, LLC
RIA
CRD#: 125437
GLEN ALLEN, VA
Past
September 8, 2003 - June 1, 2008
BI INVESTMENTS, LLC
BD
CRD#: 125437
GLEN ALLEN, VA
Past
May 25, 2000 - September 22, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
MECHANICSVILLE, VA
Past
August 26, 1999 - September 22, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
September 20, 1994 - August 25, 1999
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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".
TM
THE MAIN STREET GROUP
THE MAIN STREET GROUP | THE MAIN STREET GROUP, LTD
CRD#: 175502 / SEC#: 801-113192
RIA
Registered Investment Advisory firm - (5/8/2018 Approved)Maryland
Registered Investment Advisory firm - (8/10/2018 Terminated)New York
Registered Investment Advisory firm - (7/17/2018 Terminated)North Carolina
Registered Investment Advisory firm - (7/18/2018 Terminated)Texas
Registered Investment Advisory firm - (7/17/2018 Terminated)Virginia
Registered Investment Advisory firm - (7/17/2018 Terminated)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
Virginia(10/15/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TM
THE MAIN STREET GROUP
THE MAIN STREET GROUP | THE MAIN STREET GROUP, LTD
CRD#: 175502 / SEC#: 801-113192
RIA
Registered Investment Advisory firm - (5/8/2018 Approved)Maryland
Registered Investment Advisory firm - (8/10/2018 Terminated)New York
Registered Investment Advisory firm - (7/17/2018 Terminated)North Carolina
Registered Investment Advisory firm - (7/18/2018 Terminated)Texas
Registered Investment Advisory firm - (7/17/2018 Terminated)Virginia
Registered Investment Advisory firm - (7/17/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4510 Cox Road Suite 102, Glen Allen, VA 23060
Mailing Address
Phone number
(804) 270-4470
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,342 |
| AUM (Assets Under Management) | $ 470,325,672 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
THE MAIN STREET GROUP
CRD#: 175502Glen Allen, VA 23060TRUST BUT VERIFY
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Contact information
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