Michael A Lis
Professional Summary
Michael A Lis, who also goes by Michael Austin Lis, is a registered financial advisor currently at SG AMERICAS SECURITIES, LLC located in Houston, Texas. Michael is registered as a RR (Registered Representative) and started their career in finance in 2021. Michael has worked at 3 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Austin Lis
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
5 years in the financial services industry
Current & Past Employments
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OSAIC WEALTH, INC.
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Current Firm
SG AMERICAS SECURITIES, LLC
Contact Information
Main Address
245 Park Avenue, New York, NY 10167Mailing Address
245 Park Avenue, New York, NY 10167Phone Number
(212) 278-6000Established
Delaware since 08/08/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
114Criminal
1Arbitration
1Similar Advisors
OSAIC WEALTH, INC.
ALLWORTH FINANCIAL, L.P.
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Mar 2022About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael A Lis's CRS (Customer Relationship Summary).
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