Lisa Lynn Roccaforte

Current Employers

Employment History

• 02/2015 → 11/2017
  Lpl Financial Llc
  Glen Allen, VA
• 10/2015 → Present
  The Main Street Group, Ltd
  Glen Allen, VA
• 11/2017 → Present
  Kestra Investment Services, Llc
  Glen Allen, VA

Previous Registrations

• 2015-02-25 → 2015-11-13
  Lpl Financial Llc
  Glen Allen, VA
• 2008-06-01 → 2015-02-25
  Osaic Institutions, Inc.
  Glen Allen, VA
• 2003-09-08 → 2008-06-01
  Bi Investments, Llc
  Mechanicsville, VA
  Glen Allen, VA
• 2000-05-25 → 2003-09-22
  Uvest Financial Services Group, Inc.
  Mechanicsville, VA

Other Businesses

Business Name: The Main Street Life Investment Related: Yes Address: 4510 Cox Rd Suite 102 Glen Allen VA 23060 Nature of Business: Insurance Position, Title or Relationship: agent Start Date: 3/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: sell life ins. Business Name: The Main Street Group Investment Related: Yes Address: 4510 Cox Rd Suite 102 glen Allen VA 23060 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through an independent outside RIA Position, Title or Relationship: investment advisor Start Date: 10/15/2015 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: manage clients assets Business Name: Oaktree Annuities Investment Related: Yes Address: 505 Carter Street Bristol VA 24201 Nature of Business: Insurance Position, Title or Relationship: producer Start Date: 3/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: offer fixed annuities to clients Business Name: Dixon Wells Investment Related: Yes Address: 4805 Lake Brook Dr suite 102 Glen Allen VA 23060 Nature of Business: Insurance Position, Title or Relationship: producer Start Date: 8/1/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: none Business Name: Hanover Financial Planning LLC Investment Related: Yes Address: 10186 Scot's Landing Rd Mechanicsville VA 23116 Nature of Business: Other Other/None of the Above pass through entity for advisory income Position, Title or Relationship: financial advisor Start Date: 3/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: pass through entity for advisory income Business Name: VANBRIDGE POSITION: producer NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 7 START DATE: 08/01/2017 ADDRESS: 1140 Avenue of the Americas, 8th floor, New York NY 10036, United States DESCRIPTION: none

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-13
• S63 Uniform Securities Agent State Law Examination
  1994-09-21

Designations