Lisa P. Raterman
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 Patterson Raterman, who also goes by Lisa Jan Patterson, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2002. Lisa had worked at 7 firms and has passed the Series 66, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2012 - October 31, 2012
GENTRY SECURITIES LLC
March 2, 2011 - December 31, 2011
1ST WORLDWIDE FINANCIAL PARTNERS, LLC
January 17, 2008 - April 28, 2009
INTEROCEAN SECURITIES LLC
January 10, 2005 - May 15, 2006
OPPENHEIMER & CO. INC.
January 10, 2005 - May 15, 2006
OPPENHEIMER & CO. INC.
July 14, 2003 - January 26, 2005
HEDEKER WEALTH LLC
May 9, 2003 - January 26, 2005
CERTES CAPITAL SECURITIES, LLC
October 10, 2002 - September 8, 2003
QA3 FINANCIAL CORP.
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
Current Firm
GENTRY SECURITIES LLC
CRD#: 155142 / SEC#: , 8-68698
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GENTRY NY LLC | SOLE MEMBER | |
| BRACHFELD, ERIC LOUIS | CEO, CCO | 2297883 |
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.
