Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Farley is a financial advisor with Wells Fargo Clearing Services, LLC in Beverly Hills, California. Lisa has been in the industry since 2000 and has experience working with a variety of clients including high-net-worth individuals, corporations, and charitable organizations. Lisa has worked at several firms prior to joining Wells Fargo, including UBS Financial Services, Inc., City National Securities, Inc., and Goldman, Sachs & Co.
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
CA
04/12/2021 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
05/18/2016 - 10/17/2018
CITY NATIONAL SECURITIES, INC. (El Segundo, CA)
CA
12/03/2007 - 06/03/2016
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
NY
03/15/2000 - 01/02/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
BOTH
Issued 04/03/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2000
Series 3 - National Commodity Futures Examination
BC
Issued 03/14/2000
Series 7 - General Securities 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 Farley is the right advisor for you? Invested Better is here to help.
