Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Hartung is a financial advisor with Stifel, Nicolaus & Company, Inc. Lisa is a seasoned professional with over 20 years of experience in the financial services industry. Lisa has a strong track record of providing personalized investment advice to a wide range of clients. Lisa has been a registered representative with FINRA since 1999. Lisa has a deep understanding of the financial markets and is committed to helping her clients achieve their financial goals.
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.
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
CA
04/20/2016 - Present
Stifel, Nicolaus & Company, Inc. (NEWPORT BEACH CA)
CA
11/17/1999 - 03/24/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
IA
Issued 12/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/16/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/28/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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