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LA

Lisa A. Avolio-garofalo

MURIEL SIEBERT & CO.
New York, NY 10282
Some features on this profile are disabled
CRD#: 3085396
LA
Lisa Ann Avolio-garofaloMURIEL SIEBERT & CO.

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 and RISE FINANCIAL SERVICES, 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 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Aliases

Lisa A Avolio | Lisa Ann Avolio | Lisa Avolio-Garofalo

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) - BD

Click below to view Lisa Ann Avolio-garofalo's CRS (Customer Relationship Summary).

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

Current

January 2, 2020 - Present

MURIEL SIEBERT & CO., LLC

Office #1: 300 Vesey Street Suite 501, New York, NY 10282
BD
CRD#: 5376
New York, NY
Current

March 12, 2026 - Present

RISE FINANCIAL SERVICES, LLC

Office #1: 300 Vesey Street Suite 501, New York, NY 10282
BD
CRD#: 146103
New York, NY
Past

March 2, 2017 - January 2, 2020

STOCKCROSS FINANCIAL SERVICES, INC.

BD
CRD#: 6670
JERSEY CITY, NJ
Past

April 28, 2014 - February 24, 2017

MURIEL SIEBERT & CO., LLC

BD
CRD#: 5376
JERSEY CITY, NJ
Past

February 9, 2010 - May 8, 2012

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
NEW YORK, NY
Past

October 30, 2002 - January 25, 2010

MURIEL SIEBERT & CO., LLC

BD
CRD#: 5376
JERSEY CITY, NJ
Past

August 30, 2002 - October 15, 2002

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 17, 2001 - July 26, 2002

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(3/12/2026)
RR
New Jersey
(1/2/2020)
RR
New York
(3/12/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/4/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

RF
RISE FINANCIAL SERVICES, LLC
CADENA CAPITAL GROUP, INC. | WPS PRIME SERVICES, LLC | WEEDEN PRIME SERVICES, LLC. | SAXIS GROUP, LLC. | SAXIS GROUP, INC. | SAXIS GROUP | RISE FINANCIAL SERVICES, LLC

CRD#: 146103 / SEC#: , 8-67787

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
653 Collins Avenue, Miami Beach, FL 33139
Mailing Address
653 Collins Avenue, Miami Beach, FL 33139
Phone number
(212) 644-2400
Established
Delaware since 12/13/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
SIEBERT FINANCIAL CORP.OWNER
GEBBIA, GLORIA ESTELLEOWNER2126152
BONO, RONALD ROSSCCO1247269
REICH, ANDREW HENRYCFO1966909
REICH, ANDREW HENRYCEO1966909

Red Flags

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Company Information

RISE FINANCIAL SERVICES, LLC

CRD#: 146103New York, NY 10282

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