Lisa A. Grushkin

REGIONS SECURITIES LLC

Charlotte, NC 28202

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CRD#: 4447205

Professional summary

Lisa Ann Grushkin is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2001. Lisa has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Ann Grushkin'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

September 22, 2025 - Present

REGIONS SECURITIES LLC

Office #1: 615 South College Street, Charlotte, NC 28202

CRD#: 159475

Charlotte, NC

Past

May 25, 2011 - March 10, 2025

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

July 29, 2009 - April 21, 2011

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

NEW YORK, NY

Past

November 28, 2001 - February 27, 2009

UBS SECURITIES LLC

CRD#: 7654

STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

North Carolina
(9/22/2025)

Exams

State Security Law Exam

Series 63

Date: 2/27/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/12/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REGIONS SECURITIES LLC

REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Mailing Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Phone number

(404) 279-7400

Established

Delaware since 10/12/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RFC FINANCIAL SERVICES HOLDING LLC	PARENT
AMIN, RITVIG NIPENDRA	CHAIRMAN OF THE BOARD & DIRECTOR	2901218
GIARDINO, NEIL	CEO, PRESIDENT AND DIRECTOR	2428962
HOLLOWAY, GLENN CHRISTOPHER	FINOP, CFO, PFO, POO & DIRECTOR	4566759
MAGGIORE, JILL WRIGHT	CHIEF COMPLIANCE OFFICER & DIRECTOR	1001068
MAXWELL, JASON MATTHEW	CHIEF LEGAL OFFICER & DIRECTOR	5997125

Disclosures

Regulatory Event

Red Flags

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Lisa A. Grushkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lisa Ann Grushkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

MACQUARIE CAPITAL (USA) INC.

COHEN & COMPANY SECURITIES, LLC

UBS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/27/2002

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/27/2001

Series 24

Date: 6/12/2019

FINRA

Current Firm

REGIONS SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REGIONS SECURITIES LLC

TRUST BUT VERIFY

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