Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Harrington is a financial advisor with UBS Financial Services Inc. Lisa has been in the industry for 8 years, beginning her career at UBS Financial Services Inc. in June of 2016. Lisa is registered in 19 states and has passed a number of professional exams including the Series 66, Series 10, Series 9, SIE, and Series 7.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (Penfield NY)
CA
02/05/2018 - 04/19/2018
EF LEGACY SECURITIES, LLC (SANTA CLARA CA)
NJ
06/09/2016 - 01/29/2018
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 08/12/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/27/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/01/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/2016
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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