Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Severin Shaw is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in Kansas City, MO. Lisa has been working in the financial services industry since 1995 and has a wealth of experience in providing investment advice and portfolio management services to a diverse clientele. Lisa is a registered representative and investment advisor representative in multiple states, and holds the Series 7, 31, and 63 licenses, as well as the Series 65 license. Lisa is committed to providing her clients with personalized financial advice and guidance.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
12/16/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (KANSAS CITY MO)
MO
04/03/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (KANSAS CITY MO)
MO
12/01/2001 - 04/05/2006
U.S. BANCORP INVESTMENTS, INC. (KANSAS CITY MO)
NY
04/21/1995 - 12/18/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
11/07/2001 - 12/01/2001
FIRSTAR INVESTMENT SERVICES,INC. (MORRIS PLAINS NJ)
IA
Issued 10/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/28/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 04/20/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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