Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Middleton is a financial advisor with over 30 years of experience in the industry. Lisa is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in multiple states, including Ohio, Connecticut, Pennsylvania and Texas. Lisa's previous firms include UBS Financial Services Inc., Wells Fargo Advisors, LLC, and Banc One Securities Corporation. Lisa is a Series 6, 7, 9, 10, 31, 66, 99TO, and SIE licensed advisor. Lisa provides a range of services to individuals, businesses, and institutions. Lisa is committed to providing clients with personalized financial advice and guidance.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
OH
03/31/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (COLUMBUS OH)
OH
02/03/2012 - 03/06/2014
UBS FINANCIAL SERVICES INC. (COLUMBUS OH)
OH
03/18/2005 - 02/06/2012
WELLS FARGO ADVISORS, LLC (CLEVELAND OH)
IL
06/03/1993 - 03/22/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 07/12/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/15/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/19/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 10/11/2004
Series 7 - General Securities Representative Examination
BC
Issued 06/02/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lisa Middleton is the right advisor for you? Invested Better is here to help.
