Thomas J. Lisa
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.
Thomas John Lisa JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2019 - March 13, 2020
MIDTOWN PARTNERS
August 19, 2015 - July 19, 2017
WILMINGTON CAPITAL SECURITIES, LLC
April 4, 2012 - August 11, 2015
FOREFRONT CAPITAL MARKETS LLC
October 23, 2002 - February 27, 2012
MAXIM GROUP LLC
August 23, 2000 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
March 5, 1998 - November 21, 2000
JOSEPH DILLON & COMPANY INC.
State Registrations and Notice Filings
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Exams
Current Firm
MIDTOWN PARTNERS
CRD#: 104223 / SEC#: , 8-52685
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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