Lisa A. Amato
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 Ann Amato, who also goes by Lisa A Amato, Lisa Ann Amato, Lisa A Salvatico, Lisa Ann Salvatico, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2004. Lisa had worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2023 - February 13, 2025
NEWEDGE SECURITIES, LLC
September 29, 2023 - October 14, 2023
J.P. MORGAN SECURITIES LLC
February 5, 2021 - September 29, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
November 15, 2018 - February 9, 2021
B. RILEY WEALTH MANAGEMENT
November 30, 2017 - November 19, 2018
B. RILEY SECURITIES, INC.
November 19, 2015 - November 30, 2017
B. RILEY & CO., LLC
January 8, 2015 - January 2, 2019
B. RILEY CAPITAL MANAGEMENT
January 8, 2015 - November 20, 2015
LADENBURG THALMANN & CO. INC.
September 17, 2010 - January 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2010 - January 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2004 - April 7, 2009
KEEFE, BRUYETTE & WOODS, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
