Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Lucas is a financial advisor at UBS Financial Services Inc. Lisa has been working in the financial industry since 2002. Lisa is registered with the state of Pennsylvania as both a broker and an investment advisor. Lisa is also registered with FINRA as a broker. Lisa holds the Series 7, Series 10, Series 9, Series 63 and Series 65 licenses. In addition, Lisa is registered to conduct business in a number of states including California, Colorado, Florida, Illinois, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania, and Texas. Previously, Lisa worked for Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, PNC Investments and PNC Capital Markets, Inc.
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
PA
11/03/2016 - Present
UBS Financial Services Inc. (PITTSBURGH PA)
PA
06/01/2009 - 11/07/2016
MORGAN STANLEY (PITTSBURGH PA)
PA
12/13/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PITTSBURG PA)
PA
01/01/2004 - 12/07/2007
PNC INVESTMENTS (PITTSBURGH PA)
KY
11/03/2003 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
05/02/2002 - 10/23/2003
PNC CAPITAL MARKETS, INC. (PITTSBURGH PA)
IA
Issued 7/29/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/23/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/29/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/27/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/30/2002
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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