Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Pate is a financial advisor at Raymond James & Associates, Inc. Lisa has over 30 years of experience in the financial services industry, beginning her career in 1991. Prior to joining Raymond James, Lisa worked for Morgan Keegan & Company, Inc., Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated, and Dean Witter Reynolds Inc. Lisa holds the Series 7 and Series 63 licenses and the SIE exam. Lisa is registered with the state of South Carolina as a Broker/Dealer. Lisa specializes in providing financial advice and investment management services for individuals, businesses, corporations, high-net-worth individuals, charitable organizations, insurance companies, pension and profit sharing plans, and banking or thrift institutions.
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.
Please see note in schedule d - miscellaneous
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
02/13/2013 - Present
Raymond James & Associates, Inc. (CHARLESTON SC)
SC
02/02/2009 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (CHARLESTON SC)
NY
02/21/2006 - 02/19/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MD
02/11/1999 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
10/08/1991 - 01/27/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 10/23/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lisa Pate is the right advisor for you? Invested Better is here to help.
