Lisa A. Avolio-garofalo
Professional summary
Lisa Ann Avolio-garofalo, who also goes by Lisa A Avolio, Lisa Ann Avolio, Lisa Avolio-garofalo, is a registered financial professional currently at MURIEL SIEBERT & CO., LLC located in New York, New York.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2001. Lisa has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Ann Avolio-garofalo's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2020 - Present
MURIEL SIEBERT & CO., LLC
Office #1: 300 Vesey Street Suite 501, New York, NY 10282March 2, 2017 - January 2, 2020
STOCKCROSS FINANCIAL SERVICES, INC.
April 28, 2014 - February 24, 2017
MURIEL SIEBERT & CO., LLC
February 9, 2010 - May 8, 2012
SIEBERT WILLIAMS SHANK & CO., LLC
October 30, 2002 - January 25, 2010
MURIEL SIEBERT & CO., LLC
August 30, 2002 - October 15, 2002
J.P. MORGAN SECURITIES LLC
January 17, 2001 - July 26, 2002
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
MURIEL SIEBERT & CO., LLC
CRD#: 5376 / SEC#: , 8-14900
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIEBERT FINANCIAL CORPORATION | PARENT COMPANY | |
| BENDER, KYLE ROBERT | REGISTERED OPTIONS AND SECURITIES FUTURES PRINCIPAL ("ROSFP") | 2287329 |
| BONO, RONALD ROSS | CUSTOMER RELATIONSHIP OFFFICER | 1247269 |
| COLOMBINO, MICHAEL JONATHAN | CHIEF FINANCIAL OFFICER/BOARD MEMBER | 4871852 |
| GEBBIA, GLORIA ESTELLE | BOARD MEMBER | 2126152 |
| GEBBIA, JOHN MICHAEL | CO-CEO/BOARD MEMBER | 1866455 |
| GEBBIA, RICHARD SAL | CO-CEO/BOARD MEMBER | 2348552 |
| REICH, ANDREW HENRY | BOARD MEMBER | 1966909 |
| SCHEBECE, GREGORY CHARLES | CHIEF INFORMATION OFFICER | 1498632 |
| SCUTERI, FREDRICK PAUL | CHIEF OPERATING OFFICER | 2623915 |
| SOSNOWSKI, PETER JAMES | NATIONAL SALES MANAGER | 1540143 |
| VILLELLA, BARBARA DUNNE | CCO/AMLCO | 1719722 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
