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Lisa Jean Ullsperger

Fidelity Brokerage Services LLC

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About Lisa Jean Ullsperger

Lisa Ullsperger is a financial advisor with Fidelity Brokerage Services LLC in Greenwood Village, CO. Lisa has over 20 years of experience in the financial services industry. Previously, Lisa worked at Charles Schwab & Co., Inc. in Lone Tree, CO and Farmers Financial Solutions, LLC in Greenwood Village, CO. Lisa holds Series 6, 7, 63, and 66 licenses.

Firm Information

Lisa Ullsperger is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Lisa Ullsperger’s Registration & Firm History

CO

07/25/2022 - Present

Fidelity Brokerage Services LLC (GREENWOOD VILLAGE CO)

CO

01/29/2010 - 07/14/2022

CHARLES SCHWAB & CO., INC. (Lone Tree CO)

CO

11/01/2004 - 12/02/2008

FARMERS FINANCIAL SOLUTIONS, LLC (GREENWOOD VILLAGE CO)

CO

02/14/2001 - 01/26/2004

ALPS DISTRIBUTORS, INC. (DENVER CO)

NY

09/06/2000 - 01/22/2001

J. P. MORGAN ADVISORY SERVICES INC. (NEW YORK NY)

NY

04/06/2000 - 01/19/2001

J. P. MORGAN ADVISORS, INC. (NEW YORK NY)

MA

10/21/1998 - 04/07/2000

MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)

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Licenses & Designations

BOTH

Issued 12/03/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/15/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/21/1999

Series 7 - General Securities Representative Examination

BC

Issued 10/20/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There is public disclosure for Lisa Jean Ullsperger. Review regulatory record here.
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