Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa James is an Investment Advisor Representative with Ingalls & Snyder, LLC. Lisa has been in the financial industry for over 30 years. Lisa has a wide range of experience, including working at Lehman Brothers Inc. and Lehman Government Securities Inc. Lisa is licensed to provide investment advisory services in California and New York. Lisa provides financial planning, portfolio management for individuals, businesses, and pooled investment vehicles. Lisa specializes in providing investment advisory services to high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth.
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.
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 "miscellaneous" on schedule d.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
07/08/2021 - Present
Ingalls & Snyder, LLC (San Rafael CA)
NY
11/19/1985 - 02/27/1998
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/13/1989 - 10/23/1995
LEHMAN GOVERNMENT SECURITIES INC.
NA
11/08/1988 - 07/18/1994
LEHMAN SPECIAL SECURITIES INC.
IA
Issued 11/28/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/12/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/1990
Series 24 - General Securities Principal Examination
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
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