Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Mullen is a financial advisor with over 18 years of experience in the industry. She currently works at Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC. Lisa is registered to provide investment advice in all 50 states and has several designations including Series 7, 10, 9, 63, and SIE. Lisa also has previous experience at Raymond James & Associates, Inc. and Citigroup Global Markets Inc.
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.
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.
Investment consulting services to institutional clients
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.
1
2
OH
06/20/2024 - Present
Wells Fargo Advisors Financial Network, LLC (MASON OH)
OH
05/05/2006 - 05/04/2022
RAYMOND JAMES & ASSOCIATES, INC. (Blue Ash OH)
OH
02/21/2006 - 05/15/2006
CITIGROUP GLOBAL MARKETS INC. (CINCINNATI OH)
MD
04/19/2005 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
OH
10/17/2003 - 04/21/2005
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
BC
Issued 08/12/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/25/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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