Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Lis is an investment advisor representative with BNY Mellon Securities Corp., and has been in the industry since 1990. Carolyn has a Series 6, 7 and 63 licenses and is registered with FINRA and in 51 states. Carolyn is also a registered investment advisor representative in California. Carolyn has experience working with both individuals and businesses. Carolyn is also a model provider for third-party wrap program sponsors.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Bnymsc sponsors a wrap fee program, and serves as a portfolio mgr or model provider to third party wrap program sponsors.
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.
A percentage of the total value of assets under management is charged.
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2
CA
01/01/2025 - Present
BNY Mellon Securities Corp. (SAN FRANCISCO CA)
PA
12/31/2000 - 09/29/2006
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
PA
11/20/1998 - 12/31/2000
DELAWARE DISTRIBUTORS, L.P. (PHILADELPHIA PA)
NA
04/19/1993 - 06/13/1994
USAFFINITY INVESTMENTS, INC.
MA
04/03/1990 - 08/04/1992
EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)
MO
01/18/1988 - 03/08/1990
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
01/21/1986 - 01/19/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
05/29/1985 - 09/18/1985
FIRST INTERREGIONAL EQUITY CORP.
BC
Issued 12/22/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/31/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2012
Series 7 - General Securities Representative Examination
BC
Issued 11/13/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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