Thomas M. Lisa
Professional summary
Thomas Michael Lisa, who also goes by Thomas M Lisa, is a registered financial professional currently at MORGAN STANLEY DISTRIBUTION, INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Michael Lisa's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2016 - Present
MORGAN STANLEY DISTRIBUTION, INC.
Office #1: 1585 Broadway, New York, NY 10036July 15, 2016 - December 23, 2020
MORGAN STANLEY
September 8, 2006 - September 8, 2016
MORGAN STANLEY & CO. LLC
September 4, 1998 - July 12, 2006
TD AMERITRADE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/15/2016)
Exams
FINRA
Current Firm
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
Red Flags
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