Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Engstrom is a financial advisor with UBS Financial Services Inc. Lisa has been in the industry since 1993. Lisa has a Series 7, Series 10, Series 9, Series 63, and SIE licenses. She is registered with the state of California as an Investment Advisor Representative. Lisa has experience working with high-net-worth individuals, corporations, and other businesses. Lisa provides a variety of services to her clients, including financial planning, portfolio management, and investment advice. Lisa is committed to providing her clients with personalized service and helping them 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.
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.
See schedule d - miscellaneous
1
2
CA
07/10/2015 - Present
UBS Financial Services Inc. (SACRAMENTO CA)
CA
04/20/2005 - 03/19/2015
UBS FINANCIAL SERVICES INC. (STOCKTON CA)
NY
07/31/1993 - 04/26/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
06/22/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 12/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/12/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
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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