Lisa Roccaforte has been an investment adviser representative at The Main Street Group since October 2015, and is not listed among the firm’s executive officers or direct owners.
The Main Street Group, LTD is a Glen Allen, VA firm with $515M under management, 765 clients and 8 advisers across 2 offices, as of its September 2026 filing.
Lisa Roccaforte is an investment adviser representative with The Main Street Group, with focus areas in investments, 529 college plans and advisory services. She began her financial career in 1975 with Southern Bank, joined Dominion Bank in 1986, and moved to Essex Bank in 1999, where she started the investment arm of Essex Services.
Lisa Roccaforte’s longest registration is the current one, 11 years at The Main Street Group since 2015. Before joining The Main Street Group in 2015, Lisa Roccaforte was registered through LPL Financial LLC and Infinex Investments, Inc.
- The Main Street GroupCurrent– present · 11 yearsGlen Allen, VA · Adviser representative · Firm CRD 175502
- LPL Financial LLC– · under a yearGlen Allen, VA · Adviser representative · Firm CRD 6413
- Infinex Investments, Inc.– · 6 yearsGlen Allen, VA · Adviser representative · Firm CRD 35371
- Bi Investments, LLC– · 4 yearsGlen Allen, VA · Adviser representative · Firm CRD 125437
- Uvest Financial Services and/Or Compass Capital– · 3 yearsMechanicsville, VA · Adviser representative · Firm CRD 13787
Professional designations
Listed by The Main Street Group
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Lisa Roccaforte is registered as an investment adviser representative in Virginia, since October 2015.
- VirginiaSince 15 October 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 13 December 1999 |
| Series 7 | General Securities Representative Examination | 17 November 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 September 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 19 September 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Lisa Lynn Roccaforte
- CRD
- 2535949
- Firm
- The Main Street Group · CRD 175502
- Office
- 4510 COX ROAD, SUITE 102, Glen Allen, VA 23060
- Registration
- Investment adviser registration
- In the industry since
- September 1994
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- themainstreetgroup.com
Where does Lisa Roccaforte work?
Lisa Roccaforte is an investment adviser representative registered through The Main Street Group, LTD since October 2015, and is not listed among the firm’s executive officers or direct owners.
Is Lisa Roccaforte a financial advisor?
Yes. Lisa Roccaforte has a current investment-adviser registration in Virginia, through The Main Street Group since October 2015.
How many years of experience does Lisa Roccaforte have?
Lisa Roccaforte has 32 years in the financial industry, since September 1994, across 5 adviser firms.
What exams has Lisa Roccaforte passed?
Lisa Roccaforte has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in September 1994. FINRA credited Lisa Roccaforte with the SIE, which began in October 2018.
Where did Lisa Roccaforte work before The Main Street Group?
Before The Main Street Group, Lisa Roccaforte was registered through Infinex Investments, Inc., June 2008 to February 2015; Bi Investments, LLC, September 2003 to June 2008; Uvest Financial Services and/Or Compass Capital, May 2000 to September 2003.
Where is Lisa Roccaforte based?
Lisa Roccaforte’s registered office is in Glen Allen, VA.
Is Lisa Roccaforte registered with FINRA?
No. Lisa Roccaforte has no current broker registration.
Is Lisa Roccaforte a CFP?
The Main Street Group lists Lisa Roccaforte with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: LISA ROCCAFORTE, CFP® biography, themainstreetgroup.com
How can I verify Lisa Roccaforte’s record?
Search CRD 2535949 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Lisa Roccaforte’s full registration record.