Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Fanning has been in the financial industry since 1996. Lisa is currently registered with National Financial Services LLC and has held previous positions with Fidelity Brokerage Services LLC, Schroder & Co. Inc., Wall Street Access, Quick & Reilly, Inc., and Fleet Brokerage Securities, Inc. Lisa holds FINRA Series 7, 63 and SIE licenses as well as the Series 99TO. Lisa is currently registered with FINRA, but does not have any state registrations.
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.
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.
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RI
08/08/2001 - Present
National Financial Services LLC (SMITHFIELD RI)
NJ
02/27/2014 - 08/19/2014
FIDELITY BROKERAGE SERVICES LLC (JERSEY CITY NJ)
RI
10/19/1999 - 08/08/2001
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
NY
08/28/1998 - 09/30/1999
SCHRODER & CO. INC. (NEW YORK NY)
NY
03/23/1998 - 08/19/1998
WALL STREET ACCESS (NEW YORK NY)
NY
02/14/1998 - 03/24/1998
QUICK & REILLY, INC. (NEW YORK NY)
NY
03/27/1996 - 02/14/1998
FLEET BROKERAGE SECURITIES, INC. (NEW YORK NY)
BC
Issued 04/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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