Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Guthrie is a financial advisor with Regions Securities LLC. Lisa has been in the financial industry since 2005 and holds Series 6, 26, 63, 99TO and SIE licenses. She is currently registered with the state of Georgia. Lisa was previously registered with PFS INVESTMENTS INC. in Duluth, GA.
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.
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.
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2
GA
10/02/2015 - Present
Regions Securities LLC (Atlanta GA)
GA
04/04/2005 - 09/28/2015
PFS INVESTMENTS INC. (DULUTH GA)
BC
Issued 02/18/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/14/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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