Lisa D. Phelan
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 Donoghue Phelan, who also goes by Lisa Anne Donoghue, Lisa Donoghue, Lisa Anne Donogue, Lisa Anne Phelan, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1995. Lisa had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2021 - July 30, 2021
MGI FUNDS DISTRIBUTORS, LLC
October 28, 2004 - May 6, 2009
CSCA CAPITAL ADVISORS, LLC
October 28, 2004 - March 20, 2020
COHEN & STEERS SECURITIES, LLC
July 9, 2003 - October 4, 2004
QUASAR DISTRIBUTORS, LLC
October 5, 2001 - June 5, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 14, 1998 - September 26, 2000
WATERMARK SECURITIES, INC.
April 24, 1997 - January 30, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 3, 1995 - December 10, 1996
PRUDENTIAL EQUITY GROUP, LLC
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
MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
