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LJ

Lisa P. Johnson

NASDAQ CAPITAL MARKETS ADVISORY LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 4168397
LJ

Professional summary

Lisa Patton Johnson, who also goes by Lisa Bernadette Patton, Lisa Patton, Lisa Bernadette Patton-lipford, Lisa Patton-lipford, is a registered financial professional currently at NASDAQ CAPITAL MARKETS ADVISORY LLC located in New York, New York and NASDAQ EXECUTION SERVICES, LLC located in Philadelphia, Pennsylvania.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2000. Lisa has worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Bernadette Patton | Lisa Patton | Lisa Bernadette Patton-Lipford | Lisa Patton-Lipford

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 Patton Johnson'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

August 2, 2017 - Present

NASDAQ CAPITAL MARKETS ADVISORY LLC

Office #1: 151 West 42nd Street, New York, NY 10036
BD
CRD#: 104295
New York, NY
Current

September 24, 2019 - Present

NASDAQ EXECUTION SERVICES, LLC

Office #1: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
BD
CRD#: 7270
Philadelphia, PA
Current

July 2, 2024 - Present

NFSTX, LLC

Office #1: 4 Times Square 27th Floor, New York, NY 10036
BD
CRD#: 172583
New York, NY
Past

September 20, 2017 - January 26, 2018

NPM SECURITIES, LLC

BD
CRD#: 168469
Washington, DC
Past

September 7, 2016 - June 14, 2017

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Baltimore, MD
Past

April 28, 2008 - July 10, 2015

PROFUNDS DISTRIBUTORS, INC.

BD
CRD#: 19541
BETHESDA, MD
Past

March 3, 2005 - April 17, 2008

MISSIONSQUARE INVESTMENT SERVICES

BD
CRD#: 23189
WASHINGTON, DC
Past

August 7, 2001 - February 16, 2005

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

June 5, 2000 - July 19, 2001

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH

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
District of Columbia
(9/24/2019)
RR
Maryland
(9/24/2019)
RR
New York
(8/2/2017)
RR
Pennsylvania
(9/24/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/23/2001
Uniform Combined 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: 6/2/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/25/2000
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

NL
NFSTX, LLC
NFSTX, LLC | SMTX, LLC

CRD#: 172583 / SEC#: , 8-69512

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

Main Address
4 Times Square 27th Floor, New York, NY 10036
Mailing Address
151 West 42 Street 27th Floor, New York, NY 10036
Phone number
(212) 381-6440
Established
Delaware since 07/23/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ FUND SECONDARIES, LLC100% OWNER OF NFSTX, LLC
CRANE, LINDA SALIERNOPRINCIPAL FINANCIAL OFFICER4374198
JOHNSON, LISA PATTONCHIEF COMPLIANCE OFFICER4168397
MABIN, RORY ALISONCEO5141036

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.

Company Information

NFSTX, LLC

CRD#: 172583New York, NY 10036

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