Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Beth Sherman is a financial advisor with LPL Financial LLC, a firm with a history of providing investment advice and financial planning services. Lisa has been a registered financial advisor for over 30 years and holds several industry certifications, including the Certified Financial Planner designation. Lisa's experience extends beyond LPL Financial LLC, with previous roles at firms such as Ameriprise Financial Services, Inc and National Securities Corporation. Lisa specializes in working with individuals, families, and businesses, helping them achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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.
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2
NY
08/30/2021 - Present
LPL Financial LLC (NEW CITY NY)
NY
11/21/2019 - 09/01/2021
AMERIPRISE FINANCIAL SERVICES, LLC (New City NY)
NY
11/22/2013 - 11/25/2019
NATIONAL SECURITIES CORPORATION (NEW CITY NY)
NY
01/11/2001 - 11/22/2013
PRIME CAPITAL SERVICES, INC. (NEW CITY NY)
NY
02/28/1997 - 12/18/2000
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
12/06/1994 - 02/28/1997
MONY SECURITIES CORP. (NEW YORK NY)
NY
05/12/1992 - 11/16/1994
DIME SECURITIES OF NY, INC. (BROOKLYN NY)
WI
11/15/1990 - 05/20/1992
INVEST FINANCIAL CORPORATION (APPLETON WI)
MN
06/30/1989 - 11/09/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/30/1989 - 11/09/1990
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
CT
12/18/1987 - 08/02/1989
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
NA
04/25/1984 - 02/03/1987
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
NA
04/25/1984 - 12/24/1986
IDS FINANCIAL SERVICES INC.
BC
Issued 11/30/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/1986
Series 7 - General Securities Representative Examination
BC
Issued 02/01/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 04/17/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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