Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Jane Fratoni is a financial advisor with Stifel, Nicolaus & Company, Inc. based in Mystic, CT. Lisa has been in the industry since 1992 and holds multiple licenses including Series 7, 9, 10, and 63. Lisa specializes in providing financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles.
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.
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.
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2
CT
11/25/2005 - Present
Stifel, Nicolaus & Company, Inc. (MYSTIC CT)
CT
10/08/1992 - 12/16/2005
ADVEST, INC. (NEW LONDON CT)
BC
Issued 12/10/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/09/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/22/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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