Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Testa is a financial advisor with Wells Fargo Clearing Services, LLC. Lisa has been in the industry since 2000 and has a wide range of experience in providing financial advice and investment management services. Lisa is registered in multiple states, and holds various licenses and certifications, including Series 7, Series 9, Series 63, and Series 66. Lisa is committed to providing her clients with personalized service and helping them reach their financial goals. Lisa has previously worked at A. G. Edwards & Sons, Inc., Advest, Inc., RBC Dain Rauscher Inc., and Tucker Anthony Incorporated.
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
NY
03/30/2016 - Present
Wells Fargo Clearing Services, LLC (PITTSFORD NY)
NY
11/23/2005 - 01/03/2008
A. G. EDWARDS & SONS, INC. (PITTSFORD NY)
CT
07/26/2002 - 12/15/2005
ADVEST, INC. (HARTFORD CT)
NY
03/09/2002 - 07/17/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
03/03/2000 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
BOTH
Issued 03/25/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/15/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/02/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/2000
Series 7 - General Securities Representative 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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