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 Lagoon is a financial advisor who has been in the industry since December 1987. Lisa is currently registered with Morgan Stanley as an Investment Advisor Representative. Lisa holds Series 3, 7, 9, 10, 63, 65, 79TO and SIE licenses and is licensed in 53 states. Prior to joining Morgan Stanley, Lisa worked for Citigroup Global Markets Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, PaineWebber Incorporated, Lehman Brothers Inc., Piper, Jaffray & Hopwood Incorporated and Charles Schwab & Co., Inc. Lisa specializes in providing asset allocation advice, financial planning, pension consulting, and educational seminars.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MN
03/26/2020 - Present
Morgan Stanley (Bloomington MN)
MN
06/11/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ST.PAUL MN)
MN
07/01/2003 - 06/11/2008
WACHOVIA SECURITIES, LLC (ST. PAUL MN)
NY
06/02/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
02/02/1994 - 06/03/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/29/1990 - 03/07/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/26/1988 - 10/31/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/20/1987 - 10/06/1987
PIPER, JAFFRAY & HOPWOOD INCORPORATED
NA
02/26/1987 - 03/23/1987
CHARLES SCHWAB & CO., INC.
IA
Issued 12/04/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/29/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/25/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2003
Series 3 - National Commodity Futures Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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