Unclaimed
Lisa Kaufman is a financial professional with over 30 years of experience in the industry. Lisa holds the Series 7, 24, 63, 79 and SIE licenses. Lisa is currently registered with Dinan Capital Advisors, where she has been employed since February 2017. Lisa has held previous roles with PEAKSTONE SECURITIES, LLC, LEVY CAPITAL PARTNERS, LLC, M&A SECURITIES GROUP, INC., NATIONSBANC MONTGOMERY SECURITIES LLC, BANCAMERICA SECURITIES, INC. and CONTINENTAL PARTNERS INC.
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.
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.
1
2
TN
02/02/2017 - Present
Dinan Capital Advisors (Nashville TN)
IL
03/07/2016 - 12/05/2016
PEAKSTONE SECURITIES, LLC (Chicago IL)
NJ
09/11/2015 - 12/16/2015
LEVY CAPITAL PARTNERS, LLC (SHORT HILLS NJ)
MO
06/04/2014 - 05/12/2015
M&A SECURITIES GROUP, INC. (KANSAS CITY MO)
NY
10/01/1998 - 03/15/1999
NATIONSBANC MONTGOMERY SECURITIES LLC (NEW YORK NY)
CA
04/07/1995 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
IL
02/18/1992 - 04/03/1995
CONTINENTAL PARTNERS INC (CHICAGO IL)
BC
Issued 07/06/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 12/12/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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