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LL

Lisa J. Lampert

Some features on this profile are disabled
CRD#: 2945032
LL

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.

Lisa Jill Lampert, who also goes by Lisa J Rubenstein, Lisa Jill Rubenstein, was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 1997. Lisa had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa J Rubenstein | Lisa Jill Rubenstein

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 14, 2020 - October 6, 2020

CAPITAL DYNAMICS BROKER DEALER LLC

BD
CRD#: 148780
NEW YORK, NY
Past

November 9, 1999 - June 2, 2004

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

October 22, 1997 - July 23, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/7/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1997
General Securities Representative Examination

Current Firm

CD
CAPITAL DYNAMICS BROKER DEALER LLC
CAPITAL DYNAMICS BD | CAPITAL DYNAMICS BROKER DEALER LLC

CRD#: 148780 / SEC#: , 8-68071

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
444 Madison Avenue, New York, NY 10022
Mailing Address
444 Madison Avenue, New York, NY 10022
Phone number
(212) 798-3400
Established
Delaware since 03/14/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL DYNAMICS US, INC.SOLE MEMBER
HAHN, MARTIN GILLISELECTED MANAGER - CEO6029553
HARRIS, PATRICK EUGENECHIEF COMPLIANCE OFFICER5748909
ROMERO, MONIQUE VICTORIAELECTED MANAGER - FINOP/PFO/POO6712654

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.

Company Information

CAPITAL DYNAMICS BROKER DEALER LLC

CRD#: 148780

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