Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Ann Ball is a financial advisor at RBC Capital Markets, LLC. Lisa Ball is a registered representative with FINRA and has been in the industry since 1993. Lisa Ball has experience with UBS Financial Services Inc. and Wells Fargo Clearing Services, LLC. Lisa Ball is currently registered to provide investment advice in California and Texas.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
CA
01/16/2018 - Present
RBC Capital Markets, LLC (SAN JOSE CA)
CA
11/21/2014 - 01/25/2018
WELLS FARGO CLEARING SERVICES, LLC (SAN JOSE CA)
CA
07/11/2008 - 11/24/2014
UBS FINANCIAL SERVICES INC. (LOS GATOS CA)
CA
03/09/2002 - 07/10/2008
RBC CAPITAL MARKETS CORPORATION (SAN JOSE CA)
CA
06/21/1995 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
MO
11/09/1993 - 06/19/1995
EVEREN SECURITIES, INC. (ST. LOUIS MO)
BOTH
Issued 09/05/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/1993
Series 7 - General Securities Representative Examination
BC
Issued 07/14/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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