Andrew J. Lisy
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.
Andrew J Lisy was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2007. Andrew had worked at 3 firms and has passed the Series 63, Series 3, Series 55 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 12, 2011 - June 15, 2012
OCTEG, LLC
April 30, 2009 - May 24, 2011
PEAK6 CAPITAL MANAGEMENT LLC
September 19, 2007 - May 7, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 12/12/2007
Limited Representative-Equity Trader ExamCurrent Firm
OCTEG, LLC
CRD#: 117429 / SEC#: , 8-53598
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
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.
