Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Oconnor is an investment advisor representative with Mutual Advisors, LLC. Lisa has been in the industry since 2009. Lisa's career includes experience at a number of firms, including Raymond James Financial Services, Inc., Stifel, Nicolaus & Company, Incorporated, and CUSO Financial Services, L.P.. Lisa holds Series 6, 7, 63 and 66 securities licenses. Lisa provides portfolio management for individuals and businesses, financial planning, and other advisory services. Lisa has been registered with the State of Iowa since 2023.
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.
Hourly consulting
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
IA
05/02/2023 - Present
Mutual Advisors, LLC (Tiffin IA)
CO
10/19/2022 - 04/25/2023
RAYMOND JAMES FINANCIAL SERVICES, INC. (COLORADO SPRINGS CO)
CO
01/10/2022 - 10/18/2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED (COLORADO SPRINGS CO)
CO
05/25/2021 - 12/13/2021
CUSO FINANCIAL SERVICES, L.P. (CENTENNIAL CO)
CO
10/04/2017 - 05/21/2021
BBVA SECURITIES INC. (LONE TREE CO)
TX
02/22/2016 - 06/22/2017
COMMONWEALTH FINANCIAL NETWORK (SAN ANTONIO TX)
IA
11/18/2014 - 01/30/2015
TRANSAMERICA INVESTORS SECURITIES CORPORATION (CEDAR RAPIDS IA)
IA
09/17/2013 - 05/12/2014
LPL FINANCIAL LLC (IOWA CITY IA)
TX
11/14/2012 - 06/06/2013
J.P. MORGAN SECURITIES LLC (SAN ANTONIO TX)
TX
05/16/2012 - 08/09/2012
CHASE INVESTMENT SERVICES CORP. (SAN ANTONIO TX)
TX
10/05/2006 - 05/07/2012
ALLIANCEBERNSTEIN INVESTMENTS, INC. (SAN ANTONIO TX)
BOTH
Issued 03/26/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/26/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2018
Series 7 - General Securities Representative Examination
BC
Issued 09/29/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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