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Lisa Beth Kaufman

Dinan Capital Advisors

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About Lisa Beth Kaufman

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.

Firm Information

Lisa Kaufman is currently registered with Dinan Capital Advisors. Dinan Capital Advisors is a Limited Liability Company formed on February 16, 2011. The firm is registered in Arizona, California, Georgia, Illinois, and Tennessee and has an approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

25

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 Kaufman’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lisa Beth Kaufman.
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