Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Yocum is a financial professional with over 25 years of experience in the financial services industry. Lisa has a proven track record of providing comprehensive financial planning and investment management services to individuals, families, and businesses. Lisa is currently registered with Wells Fargo Clearing Services, LLC. Previously, Lisa was also associated with OSAIC INSTITUTIONS, INC., PNC INVESTMENTS, SCOTTRADE, INC., AXA ADVISORS, LLC, FIRST COMMAND FINANCIAL PLANNING, INC., UVEST FINANCIAL SERVICES GROUP, INC., HIGHLAND FINANCIAL, LTD., CHARLES SCHWAB & CO., INC. and FIRST MONTAUK SECURITIES CORP.. Lisa holds FINRA Series 6, 7, 63, and 66 licenses. Lisa is committed to helping clients achieve their financial goals through personalized financial strategies.
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.
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.
Investment consulting services to institutional clients
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
PA
08/09/2024 - Present
Wells Fargo Clearing Services, LLC (BETHLEHEM PA)
PA
10/19/2022 - 02/02/2024
OSAIC INSTITUTIONS, INC. (JOHNSTOWN PA)
PA
12/18/2019 - 10/25/2022
WELLS FARGO CLEARING SERVICES, LLC (WEST CHESTER PA)
PA
08/23/2017 - 05/03/2018
PNC INVESTMENTS (GREENSBURG PA)
PA
01/30/2017 - 05/11/2017
SCOTTRADE, INC. (PITTSBURGH PA)
PA
08/11/2014 - 05/03/2016
AXA ADVISORS, LLC (JOHNSTOWN PA)
PA
12/11/2012 - 08/08/2013
FIRST COMMAND FINANCIAL PLANNING, INC. (PITTSBURGH PA)
PA
11/10/2010 - 12/23/2010
UVEST FINANCIAL SERVICES GROUP, INC. (JOHNSTOWN PA)
PA
04/12/2007 - 04/08/2009
HIGHLAND FINANCIAL, LTD. (JOHNSTOWN PA)
TX
10/07/1998 - 05/03/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NJ
08/23/1996 - 08/28/1998
FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)
BOTH
Issued 03/18/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/22/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/03/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/22/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lisa Yocum is the right advisor for you? Invested Better is here to help.
