Lisa Kathleen Darby
Professional Summary
Lisa Kathleen Darby, who also goes by Kathy Gray, L Kathleen Gray, Lisa Kathleen Gray, is a registered financial advisor currently at PERSHING ADVISOR SOLUTIONS LLC located in Lake Mary, Florida and PERSHING LLC located in Lake Mary, Florida. Lisa is registered as a RR (Registered Representative) and started their career in finance in 1998. Lisa has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathy Gray, L Kathleen Gray, Lisa Kathleen Gray
Similar Advisors
GREAT POINT CAPITAL LLC
SCIPIO FINANCIAL LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
GREAT POINT CAPITAL LLC
SCIPIO FINANCIAL LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
GREAT POINT CAPITAL LLC
SCIPIO FINANCIAL LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
GREAT POINT CAPITAL LLC
SCIPIO FINANCIAL LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
GREAT POINT CAPITAL LLC
SCIPIO FINANCIAL LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current Firm
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION | BNY WEALTH SOLUTIONS
Contact Information
Main Address
One Pershing Plaza, Jersey City, NJ 07399Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399Phone Number
(201) 413-2000Established
Delaware since 01/17/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | — |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| EISENBERG, MATTHEW | CHIEF COMPLIANCE OFFICER | 4305269 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| NICHOLSON-FLORENCE, JONATHAN | BOARD MEMBER, CHIEF RISK OFFICER | 6131790 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| UDESHI, NEHAL | BOARD MEMBER | 5194790 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
Disclosures
Regulatory Event
74Arbitration
32Similar Advisors
GREAT POINT CAPITAL LLC
SCIPIO FINANCIAL LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
GREAT POINT CAPITAL LLC
SCIPIO FINANCIAL LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
State Registrations and Notice Filings
(11/21/2012)
(11/21/2012)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Aug 2023About the Series 52TO examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
GREAT POINT CAPITAL LLC
SCIPIO FINANCIAL LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRS (Client Relationship Summary) - BD
Click below to view Lisa Kathleen Darby's CRS (Customer Relationship Summary).
Similar Advisors
GREAT POINT CAPITAL LLC
SCIPIO FINANCIAL LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC