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LG

Lisa C. Golden

SUSQUEHANNA INVESTMENT GROUP
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 5880371
LG

Professional summary

Lisa Cheryl Golden, who also goes by Lisa Cheryl Doris, Lisa Doris, is a registered financial professional currently at SUSQUEHANNA INVESTMENT GROUP located in Chicago, Illinois and SUSQUEHANNA SECURITIES, LLC located in Chicago, Illinois.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2013. Lisa has worked at 2 firms and has passed the Series 57TO, SIE and Series 56 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Cheryl Doris | Lisa Doris

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 Cheryl Golden'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

April 8, 2011 - Present

SUSQUEHANNA INVESTMENT GROUP

Office #1: 175 W. Jackson Blvd. Suite 1700, Chicago, IL 60604
BD
CRD#: 33875
Chicago, IL
Current

January 30, 2018 - Present

SUSQUEHANNA SECURITIES, LLC

Office #1: 175 W Jackson Blvd. Suite 1700, Chicago, IL 60604
BD
CRD#: 35874
Chicago, IL
Past

June 20, 2013 - January 30, 2018

SUSQUEHANNA SECURITIES, LLC

BD
CRD#: 35874
BALA CYNWYD, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 11/18/2013
Proprietary Trader Qualification Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SS
SUSQUEHANNA SECURITIES, LLC
SUSQUEHANNA SECURITIES | SUSQUEHANNA SECURITIES, LLC

CRD#: 35874 / SEC#: , 8-47034

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

Main Address
401 City Ave Ste 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave Ste 220, Bala Cynwyd, PA 19004-1122
Phone number
(610) 617-2600
Established
Delaware since 08/31/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SSUS HOLDINGS, LLCMEMBER
DOHERTY, MICHAEL PATRICKCHIEF COMPLIANCE OFFICER703900
FERNANDEZ, ALEJANDROPRESIDENT4552870
JAMACA, MELISSAFINOP7478107
SIMPSON, MICHAEL ROBERTPOO7521292

Disclosures

Regulatory Event60

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

SUSQUEHANNA SECURITIES, LLC

CRD#: 35874Chicago, IL 60604

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