LN
Lisa V. Newkirk
ROBINHOOD FINANCIAL
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 2766096
LN
Professional summary
Lisa Veta Newkirk, who also goes by Lisa Veta Gines, Lisa Newkirk, Yelizaveta Umanskiy, Lisa Umansky, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1996. Lisa has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa Veta Gines | Lisa Newkirk | Yelizaveta Umanskiy | Lisa Umansky
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.
CRS (Client Relationship Summary) - BD
Click below to view Lisa Veta Newkirk's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 6, 2020 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746BD
CRD#: 165998
Lake Mary, FL
Past
August 15, 2018 - October 1, 2020
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Westlake, TX
Past
October 3, 2012 - July 30, 2018
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
Southlake, TX
Past
January 26, 2006 - July 30, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
Southlake, TX
Past
September 16, 2005 - January 30, 2006
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
September 24, 1996 - May 6, 1997
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/7/2020)
RR
Alaska(10/12/2020)
RR
Arizona(10/14/2020)
RR
Arkansas(10/7/2020)
RR
California(10/6/2020)
RR
Colorado(10/7/2020)
RR
Connecticut(10/7/2020)
RR
Delaware(10/8/2020)
RR
District of Columbia(10/15/2020)
RR
Florida(10/7/2020)
RR
Georgia(10/9/2020)
RR
Hawaii(10/9/2020)
RR
Idaho(10/6/2020)
RR
Illinois(10/16/2020)
RR
Indiana(10/13/2020)
RR
Iowa(10/8/2020)
RR
Kansas(10/19/2020)
RR
Kentucky(10/9/2020)
RR
Louisiana(10/8/2020)
RR
Maine(10/7/2020)
RR
Maryland(10/7/2020)
RR
Massachusetts(10/7/2020)
RR
Michigan(10/8/2020)
RR
Minnesota(10/8/2020)
RR
Mississippi(10/7/2020)
RR
Missouri(10/7/2020)
RR
Montana(10/7/2020)
RR
Nebraska(10/7/2020)
RR
Nevada(10/19/2020)
RR
New Hampshire(10/6/2020)
RR
New Jersey(10/7/2020)
RR
New Mexico(10/16/2020)
RR
New York(10/8/2020)
RR
North Carolina(10/7/2020)
RR
North Dakota(10/12/2020)
RR
Ohio(10/7/2020)
RR
Oklahoma(10/7/2020)
RR
Oregon(10/10/2020)
RR
Pennsylvania(10/7/2020)
RR
Puerto Rico(10/8/2020)
RR
Rhode Island(10/6/2020)
RR
South Carolina(10/7/2020)
RR
South Dakota(10/16/2020)
RR
Tennessee(10/7/2020)
RR
Texas(10/6/2020)
RR
Utah(10/7/2020)
RR
Vermont(10/7/2020)
RR
Virgin Islands(10/7/2020)
RR
Virginia(10/7/2020)
RR
Washington(10/7/2020)
RR
West Virginia(10/7/2020)
RR
Wisconsin(10/6/2020)
RR
Wyoming(10/7/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
