Lisa Marie Desimone
Professional Summary
Lisa Marie Desimone, who also goes by Lisa Marie Desimonecogliandro, is a registered financial advisor currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut. Lisa is registered as a RR (Registered Representative) and started their career in finance in 1996. Lisa has worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lisa Marie Desimonecogliandro
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
GREENWICH CAPITAL MARKETS INC | RBS SECURITIES INC. | RBS GREENWICH CAPITAL | NATWEST MARKETS SECURITIES INC. | NATWEST MARKETS (A MARKETING NAME FOR RBS SECURITIES INC.) | GREENWICH CAPITAL MARKETS, INC.
Contact Information
Main Address
600 Washington Boulevard, Stamford, CT 06901Mailing Address
600 Washington Boulevard, Stamford, CT 06901Phone Number
(203) 897-2700Established
Delaware since 11/07/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | — |
| BABAYEV, ETHAN | CHIEF FINANCIAL OFFICER | 4452299 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BROWN, EDWARD ALLEN | HEAD OF US CAPITAL MARKETS | 5444970 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
Regulatory Event
43Civil Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(12/4/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2001About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Lisa Marie Desimone's CRS (Customer Relationship Summary).
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