Lisa C. Colombo
Professional summary
Lisa Carla Colombo, who also goes by Lisa Carla Michelizza, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Hartford, Connecticut.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1999. Lisa has worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Carla Colombo's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 280 Trumbull Street, Hartford, CT 06103May 1, 2014 - January 4, 2021
MML DISTRIBUTORS, LLC
November 26, 2008 - September 10, 2009
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
March 6, 2006 - September 3, 2009
MML INVESTORS SERVICES, LLC
March 6, 2006 - May 1, 2014
MML INVESTORS SERVICES, LLC
March 18, 2005 - January 20, 2006
TOWER SQUARE SECURITIES, INC.
March 17, 2005 - January 20, 2006
TOWER SQUARE SECURITIES, INC.
February 17, 2004 - March 18, 2005
AMERICAN PORTFOLIOS ADVISORS, INC
January 7, 2004 - February 23, 2005
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
March 9, 2001 - December 31, 2003
FREEDOM FINANCIAL, INC.
July 8, 2000 - March 12, 2001
OSAIC FS, INC.
June 14, 1999 - July 8, 2000
POLARIS FINANCIAL SERVICES, 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
(9/15/2023)
(1/4/2021)
(9/15/2023)
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(9/15/2023)
(9/15/2023)
(9/15/2023)
(1/4/2021)
(9/15/2023)
(9/15/2023)
(9/15/2023)
(9/15/2023)
(9/18/2023)
(9/15/2023)
(9/15/2023)
(9/15/2023)
(9/15/2023)
Exams
FINRA
Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| 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.
