Lisa C. Drago
Professional summary
Lisa Caroline Drago is a registered financial professional currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Newport Beach, California.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1995. Lisa has worked at 12 firms and has passed the Series 63, SIE, Series 62, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Caroline Drago's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 18, 2024 - Present
PACIFIC SELECT DISTRIBUTORS, LLC
Office #1: 700 Newport Center Drive, Newport Beach, CA 92660September 17, 2019 - April 30, 2024
HORNOR, TOWNSEND & KENT, LLC
August 18, 2014 - December 18, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
March 4, 2014 - April 25, 2014
ARETE WEALTH MANAGEMENT, LLC
December 20, 2013 - March 20, 2014
HORNOR, TOWNSEND & KENT, LLC
October 6, 2011 - March 13, 2013
NATIONAL PLANNING CORPORATION
November 20, 2008 - February 12, 2010
WELTON STREET INVESTMENTS LLC
September 12, 2005 - November 5, 2008
SECURITY DISTRIBUTORS
June 9, 2004 - July 18, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 17, 2003 - May 7, 2004
DWS DISTRIBUTORS, INC.
September 29, 2000 - June 19, 2003
ALLIANZ LIFE FINANCIAL SERVICES, LLC
July 15, 1997 - August 17, 2000
COREBRIDGE CAPITAL SERVICES, INC.
June 5, 1995 - July 15, 1997
SUNAMERICA SECURITIES, 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
(6/24/2024)
Exams
Series 62
Date: 8/7/2009
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
Red Flags
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