Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Simon has been a registered representative for over 14 years. Lisa began her career at Citigroup Global Markets Inc. and has also worked at Morgan Stanley Smith Barney and Merrill Lynch, Pierce, Fenner & Smith Inc. Currently, Lisa Simon is an active registered representative for Merrill Lynch, Pierce, Fenner & Smith Inc. in Southbury, Connecticut. Lisa specializes in serving the needs of high-net-worth individuals, businesses, pension and profit-sharing plans, investment companies, insurance companies, charitable organizations, and state or municipal government entities.
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
CT
07/22/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SOUTHBURY CT)
NY
06/21/2010 - 12/21/2011
CITIGROUP GLOBAL MARKETS INC. (FRANKLIN SQUARE NY)
NY
06/01/2009 - 05/03/2010
MORGAN STANLEY SMITH BARNEY (GARDEN CITY NY)
NY
11/20/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GARDEN CITY NY)
BOTH
Issued 12/09/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2008
Series 7 - General Securities Representative 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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