Lisa G. Steinberg
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 Gail Steinberg, who also goes by Lisa Gail Royce, Lisa Royce, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2003. Lisa had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2018 - June 14, 2022
STONEHAVEN, LLC
October 5, 2009 - August 4, 2010
GOLDMAN SACHS & CO. LLC
August 4, 2004 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 30, 2004 - April 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2003 - May 17, 2004
J.P. MORGAN SECURITIES 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: 3/1/2004
Limited Representative-Equity Trader ExamCurrent Firm
STONEHAVEN, LLC
CRD#: 118913 / SEC#: , 8-53699
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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