Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Barker is a financial advisor at Raymond James & Associates, Inc., with over 10 years of experience in the financial services industry. Lisa has held previous positions with UBS Financial Services Inc. and Morgan Keegan & Company, Inc. She is a registered representative and investment advisor representative in Tennessee. Lisa holds the Series 7, 63, 66, and SIE licenses. She is also a graduate of the Raymond James Financial Advisors program. Lisa specializes in providing financial advice to individuals, families, and businesses. She has a passion for helping her clients 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.
Please see note in schedule d - miscellaneous
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
TN
09/28/2021 - Present
Raymond James & Associates, Inc. (MEMPHIS TN)
TN
09/26/2017 - 08/30/2021
UBS FINANCIAL SERVICES INC. (MEMPHIS TN)
TN
02/13/2013 - 04/27/2017
RAYMOND JAMES & ASSOCIATES, INC. (MEMPHIS TN)
TN
01/15/2010 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
BOTH
Issued 04/06/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/07/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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