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Lisa Marie Simon

Oppenheimer & Co. Inc.

Grosse Pointe Farms, MI

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2018-03-27
  • MI RA
    APPROVED
    Since 2018-03-27

Branch Locations

63 Kercheval Avenue Suite 300, Grosse Pointe Farms, MI 48236 • 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
Oppenheimer & Co. Inc. Grosse Pointe Farms MI 08/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-26
S63 Uniform Securities Agent State Law Examination 2017-09-15
  • S65 Uniform Investment Adviser Law Examination
    2018-03-26
  • S63 Uniform Securities Agent State Law Examination
    2017-09-15
Other Names
  • Lisa Marie Tasios

View on SEC IAPD

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Other Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · GROSSE POINTE FARMS, MI
DWP · GROSSE POINTE FARMS, MI
POINTE CAPITAL MANAGEMENT LLC · GROSSE POINTE FARMS, MI
POINTE CAPITAL MANAGEMENT LLC · GROSSE POINTE FARMS, MI
JANNEY MONTGOMERY SCOTT LLC · Grosse Pointe Farms, MI
WELLS FARGO CLEARING SERVICES, LLC · GROSSE POINTE FARMS, MI
FIFTH THIRD SECURITIES, INC. · GROSSE POINTE FARMS, MI
MORGAN STANLEY · Grosse Pointe Farms, MI

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