Lisa Vecchietti
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.
Lisa Vecchietti was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1999. Lisa had worked at 2 firms and has passed the Series 63, SIE, Series 52, Series 79 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2014 - January 3, 2017
LANCASTER POLLARD & CO., LLC
September 23, 1999 - November 30, 1999
JANUS HENDERSON DISTRIBUTORS US LLC
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
Current Firm
LANCASTER POLLARD & CO., LLC
CRD#: 24110 / SEC#: , 8-40905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LANCASTER POLLARD HOLDINGS, LLC | MEMBER (09/2013) | |
| GESUE, NICHOLAS MASSEY | MANAGER (07/2017) AND CHIEF EXECUTIVE OFFICER | 4463110 |
| KIRKWOOD, ROBERT THOMAS | MANAGER (07/2017) AND CHIEF FINANCIAL OFFICER & CHIEF OPERATIONS OFFICER (03/2014) | 6025468 |
| MAINELLI, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER | 1751991 |
| MATT, KASSEM K. | MANAGER (07/2017) AND PRESIDENT (07/2015) | 5115995 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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