Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alisa? Claim Your ProfileAlisa Zufall is a financial advisor with over 20 years of experience in the industry. Alisa is currently registered with LPL Financial LLC and has previously worked with Foreside Fund Services, LLC, ALPS Distributors, Inc., Van Kampen Funds Inc., and Morgan Stanley DW Inc. Alisa is licensed in South Carolina and Illinois and has a variety of licenses, including Series 7, Series 63, Series 66, Series 24, Series 99TO, and SIE. Alisa specializes in providing financial planning, portfolio management, and investment advisory services to individuals, corporations, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
SC
05/27/2021 - Present
LPL Financial LLC (FORT MILL SC)
NY
12/16/2014 - 05/05/2021
FORESIDE FUND SERVICES, LLC (New York NY)
CO
08/12/2008 - 12/31/2014
ALPS DISTRIBUTORS, INC. (DENVER CO)
IL
05/22/2002 - 06/25/2008
VAN KAMPEN FUNDS INC. (OAKBROOK TERRACE IL)
NY
04/03/2001 - 05/29/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 03/09/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/10/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/02/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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