Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Catherine Serafin is a financial professional with over 25 years of experience in the financial services industry. Lisa is currently a registered representative with Northwestern Mutual Investment Services, LLC and has been with the firm since October 1996. Lisa holds Series 6 and 26 licenses and the SIE exam. Lisa has a strong background in investment company products and variable contracts and is committed to providing her clients with personalized financial advice and guidance.
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.
Investment research; referrals to other advisers
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.
Referral fees
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WI
10/16/1996 - Present
Northwestern Mutual Investment Services, LLC (FRANKLIN WI)
BC
Issued 04/30/2001
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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