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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Little is a registered representative with Citigroup Global Markets Inc. Lisa Little is also a registered investment advisor. Lisa Little has been in the industry since 2010 and has held previous positions at Cowen and Company. Lisa Little has licenses in 53 states and the District of Columbia for both broker-dealer and investment advisor activities. Lisa Little has passed the Series 63, 65, 7, and 31 exams. Lisa Little holds an approved registration with FINRA as well as 16 approved SRO registrations. Lisa Little has passed the SIE exam. Lisa Little is currently registered with the state of New Jersey as an investment advisor representative. Lisa Little is currently registered with the state of New York as an investment advisor representative and as a broker-dealer representative. Lisa Little is registered with FINRA and 16 other self-regulatory organizations. Lisa Little holds a current FINRA registration for Citigroup Global Markets Inc.. Lisa Little has been active in the financial industry since 2010.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
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2
NY
08/17/2021 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
12/10/2009 - 10/18/2016
COWEN AND COMPANY (NEW YORK NY)
IA
Issued 11/28/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/28/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2018
Series 31 - Futures Managed Funds Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/9/2009
Series 7 - General Securities Representative Examination
Active
Inactive
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Cboe BYX Exchange, Inc.
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Cboe BZX Exchange, Inc.
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Cboe EDGA Exchange, Inc.
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Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
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FINRA
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Investors' Exchange LLC
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NYSE American LLC
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NYSE Arca, Inc.
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NYSE Chicago, Inc.
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NYSE National, Inc.
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Nasdaq BX, Inc.
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Nasdaq ISE, LLC
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Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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