LS
Lisa L. Smith
FINANCIAL NORTHEASTERN SECURITIES
Fairfield, NJ 07004
Some features on this profile are disabled
CRD#: 4731518
LS
Professional summary
Lisa L Smith, who also goes by Lisa L Smith Miss, is a registered financial professional currently at FINANCIAL NORTHEASTERN SECURITIES, INC. located in Fairfield, New Jersey.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2005. Lisa has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lisa L Smith Miss
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.
CRS (Client Relationship Summary) - BD
Click below to view Lisa L Smith'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®
NoneExperience
Current
July 4, 2008 - Present
FINANCIAL NORTHEASTERN SECURITIES, INC.
Office #1: 100 Passaic Avenue, Fairfield, NJ 07004RIA
BD
CRD#: 17007
Fairfield, NJ
Past
August 1, 2005 - September 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Arizona(7/11/2019)
RR
Arkansas(9/2/2016)
RR
California(7/21/2008)
RR
Colorado(7/4/2008)
RR
Connecticut(4/4/2016)
RR
Delaware(9/2/2016)
RR
Florida(9/2/2016)
RR
Georgia(9/2/2016)
RR
Idaho(9/2/2016)
RR
Illinois(9/2/2016)
RR
Indiana(9/2/2016)
RR
Iowa(9/2/2016)
RR
Kansas(9/2/2016)
RR
Kentucky(9/2/2016)
RR
Maine(4/4/2016)
RR
Maryland(1/27/2009)
RR
Massachusetts(4/4/2016)
RR
Michigan(1/10/2018)
RR
Minnesota(1/10/2018)
RR
Mississippi(9/2/2016)
RR
Nebraska(9/2/2016)
RR
New Hampshire(9/2/2016)
RR
New Jersey(7/4/2008)
RR
New Mexico(7/21/2008)
RR
New York(7/21/2008)
RR
North Carolina(6/12/2020)
RR
Ohio(9/2/2016)
RR
Oregon(9/2/2016)
RR
Pennsylvania(4/4/2016)
RR
South Carolina(6/12/2020)
RR
South Dakota(9/2/2016)
RR
Texas(9/2/2016)
RR
Vermont(9/2/2016)
RR
Virginia(9/2/2016)
RR
Washington(9/2/2016)
RR
West Virginia(4/23/2015)
RR
Wisconsin(6/13/2018)
RR
Wyoming(6/13/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FN
FINANCIAL NORTHEASTERN SECURITIES, INC.
FINANCIAL NORTHEASTERN SECURITIES, INC. | FNC INVESTMENTS CORPORATION
CRD#: 17007 / SEC#: , 8-34883
California
Registered Investment Advisory firm - SEC (8/11/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (2/28/2002 Approved)New Jersey
Registered Investment Advisory firm - SEC (6/23/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
100 Passaic Avenue One Greenbrook Corporate Center, Fairfield, NJ 07004
Mailing Address
100 Passaic Avenue 100, Fairfield, NJ 07004
Phone number
(973) 882-9337
Established
New Jersey since 02/14/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
42
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
