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 Chapman is a registered representative and investment advisor representative with UBS Financial Services Inc. Lisa has been in the securities industry since September 21, 1987. Lisa holds the Series 3, 7, and 63 licenses and the SIE exam. Lisa has a strong track record of providing financial guidance and investment advice. Lisa specializes in providing investment advice to individuals, businesses, and institutions. Lisa is committed to helping clients achieve their financial goals and objectives.
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.
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.
See schedule d - miscellaneous
1
2
CA
04/10/2007 - Present
UBS Financial Services Inc. (SEAL BEACH CA)
NY
09/22/1987 - 07/19/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
IA
Issued 09/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/08/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/1988
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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