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 Walsh is a financial advisor with UBS Financial Services Inc., and has over 30 years of experience in the industry. Lisa is registered with FINRA as a general securities representative and a general securities principal, holding Series 7, 10, 24, 63, and 66 licenses. Lisa has also been registered in 27 states. In addition to her work with UBS Financial Services Inc., Lisa is also involved with several trusts as a successor trustee. Lisa works with individual and institutional clients, providing financial planning, portfolio management, and pension consulting services.
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
04/21/2016 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
03/28/2012 - 04/12/2016
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
CA
01/13/2001 - 04/17/2012
DEUTSCHE BANK SECURITIES INC. (SAN FRANCISCO CA)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
06/02/1992 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
BOTH
Issued 02/25/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/30/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1992
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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