Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Yates is a financial professional with over 19 years of experience in the industry. Lisa is currently registered with Daiwa Capital Markets America Inc. in New York. Lisa has held previous positions at Pershing LLC. Lisa is also a Series 7, Series 24 and Series 63 licensed representative.
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.
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.
1
2
NY
06/17/2013 - Present
Daiwa Capital Markets America Inc. (NEW YORK NY)
NJ
10/28/2004 - 06/10/2013
PERSHING LLC (JERSEY CITY NJ)
BC
Issued 11/22/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lisa Yates is the right advisor for you? Invested Better is here to help.
