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LM

Lissette Montalvo

INSIGNEO SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4464219
LM

Professional summary

Lissette Montalvo, who also goes by Lissette Montalvo, is a registered financial professional currently at INSIGNEO SECURITIES, LLC located in Miami, Florida.

Lissette is registered as a RR (Registered Representative) and started their career in finance in 2001. Lissette has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lissette Montalvo

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 Lissette Montalvo's CRS (Customer Relationship Summary).
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

October 1, 2025 - Present

INSIGNEO SECURITIES, LLC

Office #1: 1221 Brickell Ave 27th Floor, Miami, FL 33131
BD
CRD#: 29249
Miami, FL
Past

September 18, 2017 - September 15, 2025

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
CORAL GABLES, FL
Past

December 12, 2007 - July 17, 2017

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
MIAMI, FL
Past

January 1, 2005 - November 14, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
MIAMI, FL
Past

December 6, 2001 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY

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
Florida
(10/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/5/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/23/2023
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: 12/5/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/17/2019
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/7/2019
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

IS
INSIGNEO SECURITIES, LLC
GLOBAL INVESTOR SERVICES, L.C. | INSIGNEO SECURITIES, LLC | HENCORP, INC. AND THE BECSTONE GROUP, INC. | HENCORP, BECSTONE & CO. | HENCORP BECSTONE SECURITIES, LC

CRD#: 29249 / SEC#: , 8-44166

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

Main Address
1221 Brickell Ave 27th Floor, Miami, FL 33131
Mailing Address
1221 Brickell Ave 27th Floor, Miami, FL 33131
Phone number
(305) 373-9000
Established
Florida since 12/24/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INSIGNEO FINANCIAL GROUP LLCMEMBER - CLASS A
INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLCMEMBER - CLASS B
INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLCMEMBER - CLASS B
ARANA LANDAETA, MARIELA CECILIAHEAD OF CLIENT EXPERIENCE4830220
ARNETT, GEORGE WASHINGTON IIIGENERAL COUNSEL AND DIRECTOR1057806
AVERETT, MICHAEL ROBERTCHIEF REVENUE OFFICER5311774
CANINO QUINONES, LIZMARIHEAD OF SALES SUPERVISION6007866
CAULFIELD, JUSTIN PAUL SRCHIEF COMPLIANCE OFFICER5699024
CEDENO, CLAUDIABSA | AML OFFICER5235772
CHUANG, ERIC CREGULATORY AFFAIRS OFFICER3215724
EFFIO, TAMARINDBUSINESS DEVELOPMENT OFFICER7255243
HENRIQUEZ, RAUL JRCHAIRMAN OF THE BOARD1647412
NUNEZ, FRANCISCODIRECTOR8017439
POLEMENI PEREZ, MONICAPRINCIPAL OPERATIONS OFFICER4130068
RIESGO, AHMEDCHIEF INVESTMENT OFFICER5020318
RIVERA CRUZ, MIGUEL ANGELCHIEF ACCOUNTING OFFICER / PRINCIPAL FINANCIAL OFFICER3255902
RIVERO, JAVIERPRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR4498023
WATSON, CHRISTIAN PIERCEHEAD OF TRADING4917370

Disclosures

Regulatory Event3

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

INSIGNEO SECURITIES, LLC

CRD#: 29249Miami, FL 33131

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