Kenneth B. Lissak
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.
Kenneth Barry Lissak was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1980. Kenneth had worked at 12 firms and has passed the Series 63, Series 55, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2012 - November 20, 2013
QUAD CAPITAL, LLC
May 2, 2011 - March 27, 2012
FIRST NEW YORK SECURITIES L.L.C.
January 24, 2002 - February 7, 2002
FIRST NEW YORK SECURITIES L.L.C.
February 8, 1991 - August 14, 1992
GRUNTAL & CO., L.L.C.
February 22, 1989 - August 30, 1989
KEANE SECURITIES CO., INC.
July 7, 1988 - January 26, 1989
COPELAND WILEY SECURITIES INC.
March 3, 1988 - March 31, 1988
FITZGERALD, DEARMAN & ROBERTS, INC.
April 7, 1987 - October 9, 1987
COPELAND SECURITIES INCORPORATED
May 6, 1986 - April 2, 1987
TWENTY-FIRST SECURITIES CORPORATION
November 12, 1984 - June 27, 1986
LADENBURG CAPITAL MANAGEMENT INC.
June 4, 1984 - July 10, 1984
ADLER, COLEMAN & CO.
October 6, 1981 - April 27, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1980 - September 17, 1981
JOHN MUIR & CO.
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: 10/25/2010
Limited Representative-Equity Trader ExamSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationCurrent Firm
QUAD CAPITAL, LLC
CRD#: 148927 / SEC#: , 8-68085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| QUAD CAPITAL MANAGEMENT, LLC | OWNER | |
| BENINCASA, GABRIEL ANTHONY | GENERAL COUNSEL & CCO | 2253881 |
| CIAMPI, GUERINO | SMD | |
| GUARINO, JOHN VINCENT | SMD | |
| RUBACKY, PAUL IGNATIAUS | CFO |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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