Lisa Kaess

Current Employers

Employment History

• 01/2001 → Present
  Atrium Advisors
  Nyack, NY
• 02/2021 → Present
  Stonex Securities Inc
  Englewood Cliffs, NJ
• 07/2021 → Present
  Stonex Advisors Inc
  Englewood Cliffs, NJ

Other Businesses

1) Feminomics (subsidiary of Atrium LLC) - PO Box 411, Piermont, NY 10960 Nature of Business - Business focused on 'Women and Money', with web-based content and in-person presentations. Investment related - no Business Position: creator/founder Business duties: Create and/or make presentations that address policy, professional, and personal issues, ranging from pay equity, supporting working women, to personal finance, economic and business developments. Business start date: 2011 Dedicates less than 10% of time to this activity during securities market hours. 2) Atrium Advisors LLC - PO Box 411, Piermont, NY 10968 Nature of Business: Advisor's consulting arm for outside projects, holding co for Feminomics trademarks and IP. Investment Related: no Business Position: President Business Duties: Atrium is used for occasional outside writing or other projects and holds trademarks - IPs related to Feminomics. It has also completed assignments from think tanks, research institutes, and professional associations on global macro, risk management, and related industry themes. Business Start Date: 01/2011 Approximately 5 hours spent on this OBA monthly with 1 hour spent on this OBA during market hours. 3) Strategic Financial Group 550 Sylvan Avenue Suite 109 Englewood Cliffs, NJ 07632 Nature of Business: This Company operates as a d/b/a for SA Stone to help build brand recognition and promote both my financial advisory business and disclose to potential clients the relationship that I, the advisor, have with a colleague, who has had this longstanding business identity and also licensed-supervised by SA Stone. As part of this DBA/OBA advisor will dedicate approximately 40 hours per week. . Investment Related: Yes Business Position: Director of Investments (title); Financial Advisor (position); Team Member (relationship) Business Duties: Serving as an IAR as part of a team at Strategic Financial Group. These functions will include both fee based business activities (as part of general registered representative licensed activities) and advisory activities (planning, consulting, and advisory services). Business Start Date: 01/04/2022 Estimating 160 hours per month (approx 40 hours per week), Most of this activity takes place during market hours - noting that affiliation is a d/b/a for SA Stone 4) Martin Luther King Multi-Purpose Center - 110 Bethune Blvd., Spring Valley, NY 10977 Nature of Business: Nonprofit community center serving underserved population with food pantry, after school/summer programs for children, health and community events. Investment Related: no Business Position: Member, Board of Directors Business Duties: Assist with grant applications, project liaison, event support, raise awareness in community. Business Start Date: 12/2014 Approximately 5 hours spent on this OBA monthly with 1 hour spent on this OBA during market hours

Exams

• S66 Uniform Combined State Law Examination
  2021-06-30

Other Names

• Lisa Susan Kaess