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LN

Lisa M. Nicchia

HEITMAN SECURITIES LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6747303
LN

Professional summary

Lisa Marie Nicchia, who also goes by Lisa Marie Caffarelli, is a registered financial professional currently at HEITMAN SECURITIES LLC located in Chicago, Illinois.

Lisa is registered as a RR (Registered Representative) and started their career in finance in 2017. Lisa has worked at 1 firm and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Marie Caffarelli

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 Marie Nicchia'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

February 21, 2017 - Present

HEITMAN SECURITIES LLC

Office #1: 110 N. Wacker Drive Suite 4000, Chicago, IL 60606
BD
CRD#: 13620
Chicago, IL

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
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HEITMAN SECURITIES LLC
HEITMAN SECURITIES CORPORATION | HEITMAN SECURITIES LLC

CRD#: 13620 / SEC#: , 8-29393

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

Main Address
110 N. Wacker Drive Suite 4000, Chicago, IL 60606
Mailing Address
110 N. Wacker Drive Suite 4000, Chicago, IL 60606
Phone number
(312) 855-5700
Established
Delaware since 12/30/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HEITMAN FINANCIAL SERVICES LLCSOLE MEMBER
ANGELOS, VASELEKE VICKYEXECUTIVE VICE PRESIDENT4335346
BARSKY, SCOTTSENIOR VICE PRESIDENT8042206
D'AGOSTINO, JOHN MICHAELSENIOR VICE PRESIDENT3104389
HANSON, GABRIELLE PORTERSENIOR VICE PRESIDENT7050637
INGALL, LEWIS STEVENSENIOR MANAGING DIRECTOR, EXECUTIVE VICE PRESIDENT AND ASSISTANT SECRETARY4340352
MANCUSO, JOHN ARTHURMANAGING DIRECTOR, EXECUTIVE VICE PRESIDENT6534363
MCCARTHY, THOMAS DONOVANSENIOR MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER AND SECRETARY2540415
NICCHIA, LISA MARIESENIOR VICE PRESIDENT6747303
POLITO, CHRISTINA ANN MISSEXECUTIVE VICE PRESIDENT5418579
RIEGER, EDWARD FRANCISSENIOR VICE PRESIDENT4361855

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

HEITMAN SECURITIES LLC

CRD#: 13620Chicago, IL 60606

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