Best Investors Account Sign in

Lisa L Santos

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Saratoga Springs, NY

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2012-02-10
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2012-02-10

Branch Locations

18 Division St, Saratoga Springs, NY 12866 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Latham NY 01/2012 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1990-12-12
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1990-12-12
Other Names
  • Lisa Lewissantos
  • Lisa Ann Lewis
  • Lisa A Lewis
  • Lisa Lewis Santos
  • Lisa Lewis
  • Lisa Lewissantos

View on SEC IAPD

Other Firms

SARATOGA INVESTMENT SOLUTIONS INC.
COMMONWEALTH FINANCIAL NETWORK
JANNEY MONTGOMERY SCOTT LLC
CONTINUUM WEALTH ADVISORS, LLC
STERLING MANOR FINANCIAL, LLC
NYE STREET PARTNERS LLC
LPL FINANCIAL LLC
STIFEL, NICOLAUS & COMPANY, INCORPORATED

Other Investors

CYNTHIA ELIZABETH ZALEWSKY
BONNIE MARIE BOYCE
JEFFREY CHARLES VAHANIAN
CAMERON VICTORIA CORSI
Cory Matthew Larmour
ALAN JAY BOGATCH
JESSICA SUZANNE NILES
STEPHEN EDWARD KRAKOWER

Other Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY
CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
LPL FINANCIAL LLC · SARATOGA SPRINGS, NY
STIFEL, NICOLAUS & COMPANY, INCORPORATED · SARATOGA SPRINGS, NY

More in Saratoga Springs, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor