Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Roth is a financial professional with over 30 years of experience in the financial services industry. Lisa has been registered with FINRA and various state securities regulators since 1990. Lisa currently holds a Series 7, Series 24, Series 4, Series 53, Series 14, Series 52TO, Series 99TO, and Series 65 license. Lisa's professional experience includes working with Keystone Capital Corporation, Xton Financial, and R. F. Lafferty & CO., Inc. Lisa provides investment advisory services to individuals and other investment advisers.
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.
Helps you choose top advisors aligned with your financial goals.
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.
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
01/13/2023 - Present
R. F. Lafferty & CO., Inc. (San Diego CA)
CA
05/04/2016 - 01/17/2023
XTON FINANCIAL (San Diego CA)
CA
11/05/2001 - 05/11/2016
KEYSTONE CAPITAL CORPORATION (SAN DIEGO CA)
SC
05/30/2000 - 11/02/2001
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
CA
12/14/1999 - 05/31/2000
FIXED INCOME SECURITIES, INC. (SAN DIEGO CA)
AZ
04/22/1998 - 12/07/1999
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
FL
04/28/1995 - 04/14/1998
JW CHARLES SECURITIES,INC. (BOCA RATON FL)
MO
04/13/1995 - 04/14/1998
CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)
CA
10/27/1994 - 04/04/1995
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
NY
10/11/1994 - 12/15/1994
ROCKWOOD INC. (NEW YORK NY)
CA
10/22/1990 - 08/22/1994
FIRST AFFILIATED SECURITIES (LA JOLLA CA)
IA
Issued 02/12/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/28/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/1995
Series 14 - Compliance Officer Examination
BC
Issued 10/17/1994
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/23/1992
Series 4 - Registered Options Principal Examination
BC
Issued 11/09/1990
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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