Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Mrozek is a financial advisor with over 35 years of experience in the financial services industry. Lisa has been registered with Franklin Distributors, LLC since December 1, 2005. Prior to that, Lisa held positions at Legg Mason Wood Walker, Incorporated, LM Financial Partners, Inc., Arroyo Seco, Inc., American Funds Distributors, Inc., Johnston, Lemon & Co. Incorporated and First Investors Corporation. Lisa holds the Series 7, Series 6, Series 63, and Series 26 licenses and the SIE exam.
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.
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.
1
2
CA
12/01/2005 - Present
Franklin Distributors, LLC (PASADENA CA)
MD
09/30/2003 - 12/01/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
LA
08/11/2001 - 09/30/2003
LM FINANCIAL PARTNERS, INC. (NEW ORLEANS LA)
CA
09/04/1999 - 08/11/2001
ARROYO SECO, INC. (PASADENA CA)
CA
06/06/1991 - 02/10/1999
AMERICAN FUNDS DISTRIBUTORS, INC. (LOS ANGELES CA)
NA
02/21/1986 - 03/20/1989
JOHNSTON, LEMON & CO. INCORPORATED
NA
08/05/1985 - 09/09/1985
FIRST INVESTORS CORPORATION
BC
Issued 08/02/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/25/1992
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/1986
Series 7 - General Securities Representative Examination
BC
Issued 08/02/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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