Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Cardone-O'Connor is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Lisa has been a registered representative for over 30 years. Lisa has experience in various areas of financial advising including providing investment advisory services, investment management for businesses and individuals, portfolio management, and pension consulting. Lisa is a registered representative in several states including New York, Texas, and Florida. Lisa's previous experience includes Morgan Stanley DW Inc., and E. F. Hutton & Company Inc.
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
NY
09/22/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALBANY NY)
NY
01/22/1988 - 05/24/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
11/22/1983 - 05/11/1987
E. F. HUTTON & COMPANY INC
IA
Issued 08/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/1991
Series 3 - National Commodity Futures Examination
BC
Issued 11/19/1983
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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