Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Murray is a financial advisor with RBC Capital Markets, LLC. Lisa has over 25 years of experience in the financial services industry. She is a registered representative and investment advisor representative with FINRA and the State of Minnesota. Lisa holds Series 4, 7, 9, 10, 31, 63 and 65 licenses. She specializes in providing financial advice to a range of clients including high-net-worth individuals, corporations, pension plans, charitable organizations, and insurance companies. Prior to joining RBC Capital Markets, LLC, Lisa was with Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
MN
09/13/2022 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
01/03/2011 - 09/14/2022
WELLS FARGO CLEARING SERVICES, LLC (MINNEAPOLIS MN)
MN
10/04/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MINNEAPOLIS MN)
MN
11/14/2002 - 10/07/2004
DOUGHERTY & COMPANY LLC (MINNEAPOLIS MN)
CA
11/02/2000 - 04/30/2002
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
07/06/1999 - 11/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MN
07/31/1998 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
NY
03/02/1998 - 07/27/1998
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
03/28/1997 - 03/02/1998
DAIN RAUSCHER INCORPORATED
MN
11/22/1996 - 02/24/1997
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NA
03/19/1996 - 11/13/1996
DAIN BOSWORTH INCORPORATED
IA
Issued 05/10/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/03/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/04/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/30/2000
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/18/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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