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 Smith is a financial advisor with over 20 years of experience in the industry. Lisa has worked with Cetera Investment Advisers LLC since 2016 and prior to that she was with Investors Capital Corporation. Lisa holds Series 7, 63 and 65 licenses, as well as the SIE exam. Lisa specializes in financial planning, pension consulting, portfolio management for individuals and businesses. Lisa Smith also provides educational seminars to help her clients make informed financial decisions.
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.
A percentage of the total value of assets under management is charged.
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NC
03/21/2024 - Present
Cetera Investment Advisers LLC (RALEIGH NC)
NC
12/13/2010 - 10/03/2016
INVESTORS CAPITAL CORP. (RALEIGH NC)
NC
03/26/2007 - 01/02/2009
INVESTORS CAPITAL CORP. (RALEIGH NC)
NC
09/23/2004 - 03/02/2007
STERNE AGEE FINANCIAL SERVICES, INC. (RALEIGH NC)
TN
03/14/2003 - 09/30/2004
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NY
01/11/2001 - 03/03/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NC
01/22/1998 - 09/20/1999
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
MO
03/02/1995 - 02/04/1997
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NC
11/29/1994 - 01/06/1995
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
IA
Issued 7/6/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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