Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Esslinger is a financial advisor at LPL Financial LLC. Lisa has been in the financial industry for over 20 years, helping clients achieve their financial goals. Lisa has a Series 6, 7, 63, 65, and 66 licenses, as well as Series 9 and 10. Lisa is dedicated to providing personalized financial advice and services to individuals, families, and businesses.
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.
Consulting and other non-discretionary advisory services
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.
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2
CO
09/08/2016 - Present
LPL Financial LLC (GOLDEN CO)
CO
09/19/2012 - 05/31/2016
PERSHING ADVISOR SOLUTIONS LLC (GREENWOOD VILLAGE CO)
CO
08/13/2010 - 10/05/2012
LPL FINANCIAL LLC (GOLDEN CO)
MN
01/07/2010 - 08/26/2010
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
FL
07/08/2008 - 11/30/2009
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST PETERSBURG FL)
CA
10/08/2003 - 05/27/2008
LPL FINANCIAL CORPORATION (SAN DIEGO CA)
TX
01/01/2001 - 07/09/2003
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
BOTH
Issued 09/03/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/12/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/01/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2003
Series 7 - General Securities Representative Examination
BC
Issued 12/27/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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