Lisa B. Gold
Professional summary
Lisa Beth Gold, who also goes by Lisa Beth Levy, is a registered financial professional currently at 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 3 firms and has passed the Series 63, SIE, Series 99, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Beth Gold's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 26, 2012 - Present
NASDAQ EXECUTION SERVICES, LLC
Office #1: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104July 26, 2012 - April 8, 2014
NASDAQ CAPITAL MARKETS ADVISORY LLC
October 25, 2000 - September 17, 2002
LIGHTSPEED PROFESSIONAL TRADING 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
Series 55
Date: 11/21/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
NASDAQ EXECUTION SERVICES, LLC
CRD#: 7270 / SEC#: , 8-37329
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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