Lisa A. Gustavson
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 Ann Gustavson was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1995. Lisa had worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2000 - November 9, 2018
D.E. SHAW SECURITIES, L.L.C.
September 14, 1999 - October 19, 2005
D. E. SHAW VALENCE, L.L.C.
August 17, 1995 - June 11, 2001
D. E. SHAW INVESTMENTS, L.P.
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
D.E. SHAW SECURITIES, L.L.C.
CRD#: 24332 / SEC#: , 8-40745
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D. E. SHAW & CO., L.P. | SOLE MEMBER | |
| CATLETT, JOHNATHAN EDWARD | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; AND FINANCIAL AND OPERATIONS PRINCIPAL | 7444459 |
| DINNING, ANNE CAROLYN | MANAGING DIRECTOR | 2078654 |
| FISHMAN, EDWARD LAURENCE | MANAGING DIRECTOR | 2656095 |
| HALABY, ALEXIS ANNE | MANAGING DIRECTOR | 4719650 |
| MARCUS, DANIEL ROBBINS | CHIEF COMPLIANCE OFFICER | 7889060 |
| STONE, MAXIMILIAN DANA | MANAGING DIRECTOR | 2246217 |
Disclosures
| Regulatory Event | 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.
