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Lisa Acca

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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 22 registered representatives NY. Lisa has held an industry securities registration for 10 years and is subject to FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Arive Capital Markets 3 months Apr 2015 - Present
Global Arena Capital Corp 3 years, 9 months Jul 2011 - Apr 2015
Nl Financial Alliance 1 year, 4 months Jun 2009 - Oct 2010
Equity Services Inc 1 year, 4 months Jun 2009 - Oct 2010
National Life Group 1 year, 4 months Jun 2009 - Oct 2010
Empire State Bank 1 month, 4 weeks Jan 2009 - Mar 2009
Axa Advisors 5 years, 8 months May 2003 - Jan 2009
Exams
ExamSeriesPassed Date
General Securities Principal ExaminationSeries 24 03/23/2012
Uniform Combined State Law ExaminationSeries 66 09/11/2003
General Securities Representative ExaminationSeries 7 06/26/2003

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.

Licenses and Conduct

Regulator
License Status
Not registered
Registered
Disclosures

4 Customer Disputes

1 Termination

3 Customer Disputes

1 Termination

As of Date
04/21/2015
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.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Commissions