Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Riales Johnson is a registered representative with Raymond James & Associates, Inc. in MEMPHIS, Tennessee. Lisa has been in the securities industry since 1997 and has held previous registrations with MORGAN KEEGAN & COMPANY, INC. Lisa is a licensed securities professional holding Series 63, Series 7, Series 9, and Series 10 licenses. Lisa is also a licensed investment advisor representative in Tennessee. Lisa specializes in portfolio management for individuals and businesses, financial planning, and pension consulting.
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.
Please see note in schedule d - miscellaneous
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
TN
02/13/2013 - Present
Raymond James & Associates, Inc. (MEMPHIS TN)
TN
04/08/1997 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
BC
Issued 05/01/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/05/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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