Bruce M. Lisman
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.
Bruce Michael Lisman, who also goes by Bruce M Lisman, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1974. Bruce had worked at 10 firms and has passed the Series 41, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2011 - January 25, 2013
DRIVEWEALTH INSTITUTIONAL LLC
February 20, 2006 - May 11, 2009
J.P. MORGAN CLEARING CORP.
August 28, 1998 - November 29, 1999
NASDAQ EXECUTION SERVICES, LLC
November 16, 1995 - November 14, 1996
INSTITUTIONAL DIRECT INC.
September 17, 1984 - May 11, 2009
J.P. MORGAN SECURITIES LLC
February 22, 1978 - June 4, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 5, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
January 6, 1977 - December 7, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
July 13, 1976 - January 6, 1977
WILLIAM D. WITTER, INC.
May 1, 1974 - July 18, 1976
LOEB RHOADES & CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 41
Date: 9/21/1985
NYSE Allied Member ExaminationSeries 1
Date: 4/25/1974
Registered Representative ExaminationCurrent Firm
DRIVEWEALTH INSTITUTIONAL LLC
CRD#: 33038 / SEC#: , 8-31461
Contact information
FINRA licenses (32 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | CHIEF OPERATING OFFICER | 2262100 |
| MADARASZ, RONALD JOHN | SENIOR MANAGER, INSTITUTIONAL SALES & TRADING | 1769473 |
| METZGER, BARRY SCOTT | CHIEF EXECUTIVE OFFICER | 4719211 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
| TZANETEAS, ALEC MICHAEL | CHIEF COMPLIANCE OFFICER | 6983736 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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