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Lisa Amato

Newedge Securities, Inc.

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About Lisa Amato

Lisa Amato is a registered representative with Newedge Securities, Inc. Lisa has been in the financial services industry since January 18, 2006 and has held previous roles at several firms including J.P. Morgan Securities LLC, First Republic Securities Company, LLC, B. Riley Wealth Management, B. Riley FBR, Inc., B. Riley & Co., LLC, Ladenburg Thalmann & Co. Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Keefe, Bruyette & Woods, Inc. Lisa holds several licenses including Series 7, Series 63, Series 66, SIE, and Series 99TO. Lisa is currently registered in 16 states and is a member of FINRA.

Firm Information

Lisa Amato is currently registered with Newedge Securities, Inc.. Newedge Securities, Inc. is a Corporation formed on December 14, 1981. The firm is registered with the SEC and in 53 states. Newedge Securities, Inc. has a history of disclosures including 7 Regulatory Events, 1 Civil Event, and 3 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

68

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Lisa Amato’s Registration & Firm History

CT

10/13/2023 - Present

Newedge Securities, Inc. (STAMFORD CT)

NY

09/29/2023 - 10/14/2023

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

02/05/2021 - 09/29/2023

FIRST REPUBLIC SECURITIES COMPANY, LLC (NEW YORK NY)

NY

11/15/2018 - 02/09/2021

B. RILEY WEALTH MANAGEMENT (New York NY)

NY

11/30/2017 - 11/19/2018

B. RILEY FBR, INC. (NEW YORK NY)

NY

11/19/2015 - 11/30/2017

B. RILEY & CO., LLC (NEW YORK NY)

NY

01/08/2015 - 11/20/2015

LADENBURG THALMANN & CO. INC. (NEW YORK NY)

NY

06/14/2010 - 01/06/2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

11/12/2004 - 04/07/2009

KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/06/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/12/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/11/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Lisa Amato.
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