Lisa L. Gray

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CRD#: 3048858

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 Lee Gray, who also goes by Lisa Lee Doyle, Lisa Lee Kowalski, Lisa Kowalski, was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 1998. Lisa had worked at 16 firms and has passed the Series 66, Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lisa Lee Doyle | Lisa Lee Kowalski | Lisa Kowalski

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

August 21, 2017 - May 11, 2023

METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684

Whippany, NJ

Past

June 14, 2010 - June 21, 2016

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

New York, NY

Past

June 7, 2010 - June 21, 2016

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

NEW YORK, NY

Past

April 2, 2007 - June 2, 2010

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HOUSTON, TX

Past

April 2, 2007 - June 2, 2010

MORGAN STANLEY & CO. LLC

CRD#: 8209

PURCHASE, NY

Past

March 31, 2005 - August 6, 2010

VAN KAMPEN ADVISORS INC

RIA

CRD#: 104703

HOUSTON, TX

Past

January 6, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PURCHASE, NY

Past

January 1, 2005 - June 2, 2010

MORGAN STANLEY DISTRIBUTORS INC.

CRD#: 30992

JERSEY CITY, NJ

Past

December 17, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 17, 2004 - June 2, 2010

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

HOUSTON, TX

Past

December 17, 2004 - April 11, 2016

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

NEW YORK, NY

Past

January 2, 2004 - November 26, 2004

BNY MELLON SECURITIES LLC

RIA

CRD#: 47268

RIDGEFIELD PARK, NJ

Past

June 26, 2001 - November 26, 2004

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

November 22, 2000 - November 29, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

November 21, 2000 - November 30, 2001

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

November 21, 2000 - July 29, 2002

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

August 7, 2000 - October 16, 2000

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

February 18, 2000 - October 10, 2000

BANKBOSTON INVESTOR SERVICES, INC.

CRD#: 36369

BOSTON, MA

Past

January 29, 1999 - October 16, 2000

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

July 27, 1998 - April 25, 2001

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

Past

June 11, 1998 - August 7, 2000

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

April 28, 1998 - October 16, 2000

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

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 66

Date: 12/22/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/14/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/11/2011

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/1998

General Securities Principal Examination

Current Firm

METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684 / SEC#: , 8-69857

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

One Metlife Way, Whippany, NJ 07981-1449

Mailing Address

One Metlife Way, Whippany, NJ 07981-1449

Phone number

(973) 355-4000

Established

Delaware since 08/31/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
METLIFE INVESTORS GROUP, LLC	SOLE MEMBER
HICKMAN, FRANK III	CHIEF COMPLIANCE OFFICER	5056648
POLLARO, JOSEPH PATRICK	PRESIDENT/CEO	1910072
SERAFIN, ROBERT H	PRINCIPAL OPERATIONS OFFICER	2427123
YICK, MICHAEL JOHN	CFO/FINOP & PRINCIPAL FINANCIAL OFFICER	4187342

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.

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Advisor Monitoring

Firm Stability Insights

Lisa L. Gray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

VAN KAMPEN ADVISORS INC

MORGAN STANLEY DW INC.

MORGAN STANLEY DISTRIBUTORS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DISTRIBUTION, INC.

INVESCO CAPITAL MARKETS, INC.

BNY MELLON SECURITIES LLC

BNY MELLON SECURITIES LLC

QUICK & REILLY, INC.

FIRSTAR INVESTMENT SERVICES,INC.

CONSECO SECURITIES, INC.

QUICK & REILLY, INC.

BANKBOSTON INVESTOR SERVICES, INC.

FIRSTAR INVESTMENT SERVICES,INC.

FIS SECURITIES, INC.

FLEET ENTERPRISES, INC.

CONSECO SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2003

Series 63

Date: 7/14/1998

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/27/1998

Series 53

Date: 2/11/2011

Series 24

Date: 5/18/1998

Current Firm

METLIFE INVESTMENTS SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

METLIFE INVESTMENTS SECURITIES, LLC

TRUST BUT VERIFY

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