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Information

Firm:
Type: Registered Representative
Description

Lisa Acca is a financial professional at Global Arena Capital Corp, a broker-dealer with 82 registered representatives NY. Lisa has held an industry securities registration for 8 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Lisa Acca has not answered any questions on Financial Q&A.

Top Guides

Lisa Acca has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

No client types listed.

Experience and Employment History

Employer Years Dates
National Life Group 4 years, 10 months Jun 2009 - Present
Nl Financial Alliance 4 years, 10 months Jun 2009 - Present
Equity Services Inc 4 years, 10 months Jun 2009 - Present
Empire State Bank 1 month, 4 weeks Jan 2009 - Mar 2009
Axa Advisors 5 years, 8 months May 2003 - Jan 2009
Goldman, Sachs & Co 2 years, 6 months Apr 2000 - Oct 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 01/06/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Not registered
Registered
Disclosures

3 Customer Disputes

3 Customer Disputes

1 Termination

As of Date
01/06/2012
09/18/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 03/23/2012
Uniform Combined State Law Examination Series 66 09/11/2003
General Securities Representative Examination Series 7 06/26/2003

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Commissions