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LD

Lisa A. Dunn

BROADRIDGE BUSINESS PROCESS OUTSOURCING
NEW YORK, NY 10158
Some features on this profile are disabled
CRD#: 5666234
LD

Professional summary

Lisa Ann Dunn, who also goes by Lisa A Dunn, is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in New York, New York.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2011. Lisa has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa A Dunn

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lisa Ann Dunn'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®
None

Experience

Current

January 27, 2026 - Present

BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC

Office #1: 605 3rd Ave, New York, NY 10158
BD
CRD#: 114212
NEW YORK, NY
Past

December 22, 2021 - February 7, 2025

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 30, 2016 - November 15, 2021

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

June 24, 2011 - May 27, 2016

BROKERTEC AMERICAS LLC

BD
CRD#: 47477
JERSEY CITY, NJ

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
New York
(1/27/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/20/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/17/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/23/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BB
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC | MSCS FINANCIAL SERVICES, LLC | MSCS FINANCIAL SERVICES | LTX

CRD#: 114212 / SEC#: , 8-53412

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
300 Executive Drive Suite 1, Edgewood, NY 11717-8382
Mailing Address
300 Executive Drive Suite 1, Edgewood, NY 11717-8382
Phone number
(201) 793-9304
Established
Delaware since 04/06/2001
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BROADRIDGE BPO HOLDING LLCSOLE MEMBER
ALEXANDER, MICHAEL JAYCEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS1428753
BEUTELSCHIES, WILL SAMUELDIRECTOR OF COMPLIANCE: AMLCO2779204
CASS, ALBERT JOHN LLLVICE PRESIDENT2182652
DEONIER, CHRISTIAN WILLIAMSENIOR VICE PRESIDENT2829240
GIACALONE, THOMAS A.PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS2873774
JUHL, SVETLANAMANAGER ON THE BOARD OF MANAGERS6154375
PERRY, CHRISTOPHER JOHNMANAGER ON THE BOARD OF MANAGERS1841603
PORT, JAMES EDWARDCHIEF COMPLIANCE OFFICER2366427
SAX, CHARLES EDMONDCHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP1821188

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.

Company Information

BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC

CRD#: 114212New York, NY 10158

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