Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Gallagher has been working in the financial services industry since September 7, 1999. Currently, Lisa Gallagher is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since September 2021. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Lisa Gallagher was employed by Securities America, Inc. from March 2015 to September 2021, Arete Wealth Management, LLC from March 2013 to January 2015, and Carnes Capital Corporation from September 1998 to July 2012. Lisa Gallagher holds several licenses, including Series 4, 7, 24, 52, 53, 63, and 65. Lisa Gallagher specializes in providing investment advice to corporations or other businesses, high-net-worth individuals, individuals other than high-net-worth, pension and profit sharing plans, charitable organizations, and insurance companies. Lisa Gallagher's firm, Merrill Lynch, Pierce, Fenner & Smith Inc., manages approximately $10 billion to $50 billion in client assets.
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
FL
11/23/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARASOTA FL)
FL
03/02/2015 - 09/30/2021
SECURITIES AMERICA, INC. (SARASOTA FL)
FL
03/26/2013 - 01/15/2015
ARETE WEALTH MANAGEMENT, LLC (SARASOTA FL)
FL
09/24/1998 - 07/16/2012
CARNES CAPITAL CORPORATION (NAPLES FL)
IA
Issued 06/30/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/26/2001
Series 4 - Registered Options Principal Examination
BC
Issued 09/07/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/1998
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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