Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Ortega has been in the financial services industry since 1998. Lisa Ortega is a Registered Representative and Investment Advisor Representative with LPL Financial LLC. Prior to joining LPL Financial LLC, Lisa Ortega worked for Cambridge Investment Research, Inc. and UBS Financial Services Inc. Lisa Ortega has a wide range of experience in the financial services industry, and is committed to providing her clients with personalized service and sound financial advice.
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.
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2
AZ
05/05/2022 - Present
LPL Financial LLC (TUCSON AZ)
AZ
01/11/2010 - 04/28/2022
CAMBRIDGE INVESTMENT RESEARCH, INC. (Tucson AZ)
AZ
11/18/2008 - 11/06/2009
UBS FINANCIAL SERVICES INC. (TUSCON AZ)
AZ
05/26/2006 - 11/11/2008
RBC CAPITAL MARKETS CORPORATION (TUCSON AZ)
AZ
07/06/2005 - 05/25/2006
CHASE INVESTMENT SERVICES CORP. (TUCSON AZ)
IL
02/13/2004 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
AL
12/20/2002 - 02/05/2004
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
NY
07/16/1998 - 12/19/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 03/30/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/28/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/29/2010
Series 24 - General Securities Principal Examination
BC
Issued 09/14/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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