Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Marie Clark is a financial advisor with over 30 years of experience in the industry. Lisa is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., where she is able to provide investment advice to clients in both Kentucky and Texas. Lisa has a broad range of experience with previous employers including Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., UBS Financial Services Inc., Salomon Smith Barney Inc., and Lehman Brothers Inc. Her credentials include the Series 63 and 65 examinations as well as the Series 7 and SIE examinations. Lisa also has expertise in several areas including investment advisory services for individuals, businesses, and pension consulting, as well as educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
KY
01/22/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOUISVILLE KY)
KY
04/02/2007 - 01/12/2009
MORGAN STANLEY & CO. INCORPORATED (LOUISVILLE KY)
KY
11/19/2004 - 04/02/2007
MORGAN STANLEY DW INC. (LOUISVILLE KY)
NJ
02/12/1999 - 12/16/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
07/31/1993 - 02/19/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
09/01/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 09/26/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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