Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Monica is a financial advisor with UBS Financial Services Inc., located in Westlake Village, California. Lisa has been in the financial services industry for over 10 years. She has a wide range of experience in providing financial advice to individuals, families, and businesses. Lisa is committed to helping her clients reach their financial goals. She is dedicated to providing personalized financial planning, investment management, and retirement planning services. Lisa holds a Series 66, Series 7, Series 9 and Series 10 license. She is also registered in Arizona, California, Montana, New York and Texas. Lisa is dedicated to providing her clients with the highest level of service and professionalism.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
CA
03/25/2016 - Present
UBS Financial Services Inc. (WESTLAKE VILLAGE CA)
CA
02/10/2012 - 03/15/2016
AMERIPRISE FINANCIAL SERVICES, INC. (WESTLAKE VILLAGE CA)
CA
11/03/2011 - 02/02/2012
CROWELL, WEEDON & CO. (WESTLAKE VILLAGE CA)
BOTH
Issued 05/01/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/01/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/19/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2011
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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