Todd S. Lisetski
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.
Todd Steven Lisetski was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1996. Todd had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - October 23, 2014
LIFEMARK SECURITIES CORP.
July 26, 2011 - October 23, 2014
LIFEMARK SECURITIES CORP.
November 22, 2010 - June 30, 2011
SAXONY SECURITIES, INC.
October 23, 2009 - September 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 17, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 25, 2003 - October 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 1, 2001 - October 21, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 17, 1996 - October 30, 2001
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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