Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Lynne Sanchez is a financial advisor at Raymond James & Associates, Inc. Lisa has been in the financial industry since 1994, and has experience with Morgan Stanley, UBS Financial Services Inc., and Citigroup Global Markets Inc. Lisa holds the Series 3, 7, 9, 10, and 63 licenses, as well as the SIE and Series 65. She is registered in Arizona and Massachusetts. Lisa specializes in providing financial planning and investment advice to individuals, businesses, and institutional clients.
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.
Please see note in schedule d - miscellaneous
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.
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2
AZ
07/19/2023 - Present
Raymond James & Associates, Inc. (SCOTTSDALE AZ)
AZ
06/02/2010 - 07/25/2023
WELLS FARGO CLEARING SERVICES, LLC (SCOTTSDALE AZ)
AZ
06/01/2009 - 04/26/2010
MORGAN STANLEY SMITH BARNEY (SCOTTSDALE AZ)
AZ
08/09/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SCOTTSDALE AZ)
AZ
01/11/2006 - 08/21/2007
UBS FINANCIAL SERVICES INC. (SCOTTSDALE AZ)
AZ
06/13/2000 - 01/11/2006
CITIGROUP GLOBAL MARKETS INC. (SCOTTSDALE AZ)
MO
07/25/1994 - 06/20/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
BC
Issued 12/29/1999
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/07/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2003
Series 3 - National Commodity Futures Examination
BC
Issued 07/22/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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