Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Norcia-Appelbaum is a financial advisor at Mesirow Financial Investment Management, Inc., based in Chicago, IL. Lisa has over 30 years of experience in the financial services industry. Lisa has been registered with the SEC since 1992 and holds Series 7, 63, and 66 licenses. Lisa is a highly experienced financial advisor who can help you with a variety of financial needs, including financial planning, investment management, and retirement planning.
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.
Strategic management for diversified investment portfolios.
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
IL
06/08/2023 - Present
Mesirow Financial Investment Management, Inc. (CHICAGO IL)
IL
08/31/2022 - 06/13/2023
MORGAN STANLEY (Lake Forest IL)
NY
04/08/1992 - 07/17/2001
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BOTH
Issued 11/30/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/28/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/31/2022
Series 7TO - General Securities Representative Examination
BC
Issued 07/21/2022
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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