Lisa Snyderman is a registered investment advisor, based in Westport, CT, with 38 years of industry experience.
Location
8 Wright Street, Suite 107, Westport, CT, 06880
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Lisa owns Lisa M. Snyderman, LLC, a compliance consulting firm, since 2016 and is a consultant for Patten Training and Review since 2021. She provides compliance services and acts as a CCO for various firms, with the number of hours fluctuating based on client demand and projects.
Employment History
Current Registrations
UBS Asset Management (US) INC.
September 2025 - Present · 7 mos
UBS Financial Services INC.
September 2025 - Present · 7 mos
UBS Fund Services (USA) LLC
September 2025 - Present · 7 mos
UBS Asset Management (US) INC.Broker
September 2025 - Present · 7 mos
UBS Financial Services INC.Broker
September 2025 - Present · 7 mos
UBS Fund Services (USA) LLCBroker
September 2025 - Present · 7 mos
Crito Capital Advisers LLC
May 2025 - Present · 11 mos
Variable Investment Associates, INC.Broker
May 2025 - Present · 11 mos
Variable Investment Associates, INC.
May 2025 - Present · 11 mos
Global Pacific Securities US, INC.
April 2025 - Present · 1 yr
Global Pacific Securities US, INC.Broker
April 2025 - Present · 1 yr
Robus Capital Partners LLCBroker
December 2023 - Present · 2 yrs 4 mos
Robus Capital Partners LLC
December 2023 - Present · 2 yrs 4 mos
Previous Registrations
Vistia Capital, LLCBroker
February 2024 - December 2024 · 10 mos
Tapp Engine SecuritiesBroker
January 2024 - July 2025 · 1 yr 6 mos
Rubicon Capital AdvisorsBroker
December 2023 - October 2024 · 10 mos
Farkas CapitalBroker
November 2022 - September 2025 · 2 yrs 10 mos
Energy Shares, LLC.Broker
August 2022 - August 2023 · 1 yr
Quint Capital Management
June 2022 - June 2023 · 1 yr
Quint Capital CorporationBroker
April 2022 - June 2023 · 1 yr 2 mos
Northstar Financial ServicesBroker
January 2022 - June 2022 · 5 mos
Angel Island Capital Services, LLCBroker
August 2021 - January 2023 · 1 yr 5 mos
Hubble Investments, LLCBroker
April 2021 - January 2023 · 1 yr 9 mos
Andbanc Brokerage, LLCBroker
March 2021 - June 2021 · 3 mos
Mundial Financial Group, LLCBroker
December 2018 - August 2019 · 8 mos
Amera Securities LLCBroker
August 2018 - November 2020 · 2 yrs 3 mos
Westport Capital Markets, LLC
October 2017 - September 2020 · 2 yrs 11 mos
Peter R. Mack & CO., INC.Broker
May 2017 - August 2018 · 1 yr 3 mos
Mundial Financial Group, LLCBroker
December 2016 - December 2017 · 1 yr
Vision Financial Markets LLCBroker
January 2008 - December 2015 · 7 yrs 11 mos
Vision Investment Advisors, LLC
April 2007 - December 2015 · 8 yrs 8 mos
VisionBroker
July 2006 - December 2015 · 9 yrs 5 mos
Banc of America Investment Services, INC.
October 2004 - August 2005 · 10 mos
Banc of America Investment Services, INC.Broker
October 2004 - August 2005 · 10 mos
Quick & Reilly, INC.
September 2002 - October 2004 · 2 yrs 1 mo
Quick & Reilly, INC.Broker
February 2001 - October 2004 · 3 yrs 8 mos
Ewealth Securities, INC.Broker
May 2000 - November 2000 · 6 mos
Pruco Securities CorporationBroker
May 1999 - March 2000 · 10 mos
Northeast Securities, INC.Broker
November 1998 - April 1999 · 5 mos
Auerbach, Pollak & Richardson INC.Broker
January 1997 - October 1998 · 1 yr 9 mos
Northeast Securities, INC.Broker
October 1995 - January 1997 · 1 yr 3 mos
Stover Haley Burns, INC.Broker
November 1994 - October 1995 · 11 mos
Kidder, Peabody & CO. IncorporatedBroker
November 1991 - June 1993 · 1 yr 7 mos
First Metropolitan Securities, INC.Broker
April 1989 - December 1991 · 2 yrs 8 mos
Shearson Lehman Brothers INC.Broker
March 1985 - November 1987 · 2 yrs 8 mos
First Investors CorporationBroker
July 1982 - January 1985 · 2 yrs 6 mos
State Registrations4 states
CTNYPRSD
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.