Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Dempsey is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Lisa has been in the securities industry since 2022. Lisa has passed the Series 66, Series 7TO, and SIE exams and is currently registered in South Carolina and Texas. Lisa has experience in providing investment advice to individuals, businesses, and institutions. Lisa is also a Sole Owner of a rental property in Johns Island, South Carolina. Lisa's firm, Merrill Lynch, Pierce, Fenner & Smith Inc. has been providing financial services for over a century. Merrill Lynch is a global financial services company offering a wide range of investment products and services to clients. The firm has offices around the world and a strong reputation for providing quality 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
SC
10/04/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MOUNT PLEASANT SC)
BOTH
Issued 08/31/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/05/2024
Series 7TO - General Securities Representative Examination
BC
Issued 05/25/2024
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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