Lisa M. Desimone
Professional summary
Lisa Marie Desimone, who also goes by Lisa Marie Desimonecogliandro, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Marie Desimone's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2024 - Present
NATWEST MARKETS SECURITIES INC.
Office #1: 600 Washington Boulevard, Stamford, CT 06901December 8, 2021 - November 25, 2024
LIQUIDNET, INC.
October 15, 2020 - May 13, 2022
LOUIS CAPITAL MARKETS, LLC
April 4, 2018 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
January 31, 2012 - March 5, 2015
FIRST BROKERS SECURITIES LLC
January 31, 2012 - December 21, 2016
BROKERTEC AMERICAS LLC
June 12, 2009 - April 12, 2010
BROKERTEC AMERICAS LLC
June 12, 2009 - April 12, 2010
FIRST BROKERS SECURITIES LLC
June 12, 2009 - June 30, 2023
ICAP SECURITIES USA LLC
June 11, 2009 - November 25, 2024
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 19, 2005 - June 23, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2002 - June 23, 2005
WESTMINSTER RESEARCH ASSOCIATES LLC
June 21, 2002 - May 10, 2004
BNY DIRECT EXECUTION INC.
April 1, 2002 - June 23, 2005
COWEN EXECUTION SERVICES LLC
June 8, 1999 - April 1, 2002
AUTRANET, LLC
June 9, 1997 - June 8, 1999
SCHRODER & CO. INC.
July 25, 1996 - June 5, 1997
AUTRANET, 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
(12/4/2024)
Exams
FINRA
Current Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 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 |
| 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 | 43 |
| Civil Event | 4 |
Red Flags
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