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LISA JILL ABRAMSON
LISA JILL MORRIS
CRD#: 2386293
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 1225 FRANKLIN AVENUE
SUITE 150
GARDEN CITY, NY 11530
SUITE 150
GARDEN CITY, NY 11530
View By:
7/29/2024
Customer Dispute
Denied
State Registrations
B
California 7/10/2007
B
Missouri 2/12/2021
B
Colorado 4/6/2021
B
Montana 10/22/2021
B
Connecticut 7/10/2007
B
New Jersey 7/10/2007
B
Delaware 1/3/2024
B
New Mexico 1/20/2016
B
District of Columbia 7/10/2007
B
New York 7/10/2007
B
Florida 7/10/2007
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New York 5/26/2021
B
Georgia 7/10/2007
B
North Carolina 1/20/2016
B
Hawaii 1/20/2016
B
Ohio 1/2/2024
B
Illinois 10/26/2021
B
Oklahoma 1/16/2008
B
Indiana 1/3/2024
B
Pennsylvania 7/10/2007
B
Maine 7/10/2007
B
South Dakota 10/26/2021
B
Maryland 7/10/2007
B
Texas 7/10/2007
B
Massachusetts 7/10/2007
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Texas 10/16/2009
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Michigan 1/30/2015
B
Vermont 2/26/2020
B
Minnesota 8/29/2022
B
Virginia 11/9/2007
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Mississippi 4/14/2009
B
Washington 7/10/2007
SRO Registrations
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B
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Registered with this firm since 11/13/2007
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Registered with this firm since 7/10/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/29/2002 - 07/10/2007 | UNIONDALE, NY | |
B | 05/21/1996 - 05/13/2002 | NEW YORK, NY | |
B | 08/25/1994 - 08/13/1996 | GARDEN CITY, NY | |
B | 03/04/1994 - 08/10/1994 | NEW YORK, NY | |
B | 01/01/1994 - 02/23/1994 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.