Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Barnes has been in the financial services industry since 2001. Lisa is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been with the firm since 2012. Before working at Merrill Lynch, Lisa worked at Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and J.P. Morgan Securities Inc.. Lisa has a wide range of experience and is qualified to provide investment advice in various areas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
AR
10/24/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROGERS AR)
OK
05/11/2012 - 08/17/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TULSA OK)
OK
06/01/2009 - 05/17/2012
MORGAN STANLEY SMITH BARNEY (TULSA OK)
OK
02/26/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TULSA OK)
OK
02/05/2007 - 02/08/2008
J.P. MORGAN SECURITIES INC. (TULSA OK)
OK
03/13/2001 - 02/14/2007
CITIGROUP GLOBAL MARKETS INC. (TULSA OK)
BOTH
Issued 05/04/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/04/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/12/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/10/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/17/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/12/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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