Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Daum is a financial advisor with over 15 years of experience in the financial services industry. She is currently registered with Fidelity Brokerage Services LLC, a leading brokerage firm, and has held prior roles with Fidelity Investments Institutional Services Company, Inc. Lisa is a Series 6, 7, 9, 10, 63, and SIE licensed professional. She is registered to provide investment advice in Kentucky, Massachusetts, Texas, and Utah. Lisa is committed to providing personalized financial guidance to her 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.
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.
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KY
02/03/2014 - Present
Fidelity Brokerage Services LLC (COVINGTON KY)
KY
04/11/2007 - 08/07/2007
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (COVINGTON KY)
BC
Issued 03/14/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/08/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/04/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2014
Series 7 - General Securities Representative Examination
BC
Issued 04/10/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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