James A. Lisy
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.
James Andrew Lisy, who also goes by Jim Lisy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 3 firms and has passed the Series 63, SIE, 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
March 5, 2007 - December 5, 2014
SFI CAPITAL GROUP, LLC
May 16, 1997 - July 30, 2002
NATCITY INVESTMENTS, INC.
February 15, 1995 - May 29, 1997
BROWN, GIBBONS, LANG & COMPANY SECURITIES, 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
SFI CAPITAL GROUP, LLC
CRD#: 141979 / SEC#: , 8-67421
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ACHILL BD, LLC | DIRECT OWNER | |
| DORSEY, JOHN WILLIAM | CEO, PRESIDENT, CCO, AMLCO, EXECUTIVE REPRESENTATIVE | 2409227 |
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.
