Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa A. Spada is a financial advisor with over 29 years of experience in the industry. Lisa has worked for Wells Fargo Clearing Services, LLC since 2016 and has been a registered representative with them since 2012. Prior to that, Lisa worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wells Fargo Advisors, LLC. Lisa is a Certified Financial Planner and holds a Series 3, 7, 63, 65, and 66 licenses. Lisa also has a strong background in investment consulting services to institutional clients, and works with a wide variety of client types, including individuals, families, businesses, and charitable organizations. Lisa is dedicated to providing her 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
UT
07/21/2022 - Present
Wells Fargo Clearing Services, LLC (PARK CITY UT)
FL
11/04/2009 - 08/27/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOCA RATON FL)
FL
05/27/2009 - 10/02/2009
WELLS FARGO ADVISORS, LLC (PALM BEACH GARDENS FL)
NY
09/08/1994 - 08/08/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 06/12/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/2009
Series 7 - General Securities Representative Examination
BC
Issued 10/13/1993
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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