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Detailed Report
LISA LYNN ROCCAFORTE
CRD#: 2535949
IA
Investment Adviser
B
Broker
THE MAIN STREET GROUPCRD#: 175502 4510 COX ROAD
SUITE 102
GLEN ALLEN, VA 23060
KESTRA INVESTMENT SERVICES, LLCCRD#: 42046 4510 COX RD. SUITE 102
GLEN ALLEN, VA 23060
Registration History
19952000200520102015202020252 FIRMS2003 - 2008 (4 years)2 FIRMS2008 - 2015 (6 years)BKESTRA INVESTMENT SERVICES, LLC (CRD# 42046)2017 - Present (7 years)IATHE MAIN STREET GROUP (CRD# 175502)2015 - Present (9 years)BLPL FINANCIAL LLC (CRD# 6413)2015 - 2017 (2 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)1999 - 2003 (4 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1994 - 1999 (4 years)IALPL FINANCIAL LLC (CRD# 6413)2015 - 2015 (<1 year)IABI INVESTMENTS, LLC (CRD# 125437)2003 - 2003 (<1 year)IAUVEST FINANCIAL SERVICES AND/O... (CRD# 13787)2000 - 2003 (3 years)
License(s)

State Registrations

B
Maryland 11/20/2017
IA
Virginia 10/15/2015
B
North Carolina 11/20/2017
B
Virginia 11/20/2017
B
Pennsylvania 11/20/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
KESTRA INVESTMENT SERVICES, LLC (CRD#:42046)
4510 COX RD. SUITE 102, GLEN ALLEN, VA 23060
MECHANICSVILLE, VA
Registered with this firm since 11/20/2017
IA
THE MAIN STREET GROUP (CRD#:175502)
4510 COX ROAD SUITE 102, GLEN ALLEN, VA 23060
Registered with this firm since 10/15/2015
Previous Registration(s)
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B
 02/25/2015 - 11/28/2017 LPL FINANCIAL LLC (CRD#:6413) GLEN ALLEN, VA
IA
 02/25/2015 - 11/13/2015 LPL FINANCIAL LLC (CRD#:6413) GLEN ALLEN, VA
IA
 06/01/2008 - 02/25/2015 INFINEX INVESTMENTS, INC. (CRD#:35371) GLEN ALLEN, VA
B
 06/01/2008 - 02/25/2015 INFINEX INVESTMENTS, INC. (CRD#:35371) GLEN ALLEN, VA
IA
 10/22/2003 - 06/01/2008 BI INVESTMENTS, LLC (CRD#:125437) GLEN ALLEN, VA
B
 09/08/2003 - 06/01/2008 BI INVESTMENTS, LLC (CRD#:125437) GLEN ALLEN, VA
IA
 09/08/2003 - 10/16/2003 BI INVESTMENTS, LLC (CRD#:125437) GLEN ALLEN, VA
IA
 05/25/2000 - 09/22/2003 UVEST FINANCIAL SERVICES AND/OR COMPASS CAPITAL (CRD#:13787) MECHANICSVILLE, VA
B
 08/26/1999 - 09/22/2003 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) CHARLOTTE, NC
B
 09/20/1994 - 08/25/1999 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.