Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Phillips is a financial advisor with Morgan Stanley. Lisa has been in the industry since November 2000. Lisa has a Series 63, 66, 7, 9, 10 and SIE license. Lisa is registered with FINRA as an investment advisor representative. Lisa provides advisory services such as financial planning, pension consulting, educational seminars, and portfolio management for businesses, individuals and investment companies.
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
NY
04/01/2020 - Present
Morgan Stanley (BINGHAMTON NY)
NY
01/01/2008 - 09/30/2013
WELLS FARGO ADVISORS, LLC (JOHNSON CITY NY)
NY
11/07/2000 - 01/03/2008
A. G. EDWARDS & SONS, INC. (JOHNSON CITY NY)
BOTH
Issued 11/11/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/19/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/06/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lisa Phillips is the right advisor for you? Invested Better is here to help.
