Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Smith is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Lisa has been in the industry since 1990 and is registered in 53 states and 2 territories. Lisa holds several licenses and certifications including the Series 7, Series 63, Series 65, Series 9, Series 10, Series 24, Series 4, Series 52, Series 53, and SIE. Lisa offers a variety of services to her clients, including portfolio management, financial planning, pension consulting, and educational seminars. Prior to joining Merrill Lynch, Lisa worked for LPL Financial LLC, Cetera Investment Services LLC, Northern Trust Securities, Inc., Chase Investment Services Corp., Waddell & Reed, Inc., Banc of America Investment Services, Inc., BA Investment Services, Inc., U.S. Bancorp Securities, and Dean Witter Reynolds Inc. Lisa Smith is committed to providing her clients with the highest level of service and expertise.
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
CA
05/26/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WALNUT CREEK CA)
CA
04/30/2013 - 05/06/2016
LPL FINANCIAL LLC (OAKLAND CA)
CA
07/23/2012 - 04/30/2013
CETERA INVESTMENT SERVICES LLC (RICHMOND CA)
CA
08/09/2011 - 07/16/2012
NORTHERN TRUST SECURITIES, INC. (SAN FRANCISCO CA)
CA
12/14/2009 - 07/12/2011
CHASE INVESTMENT SERVICES CORP. (OAKLAND CA)
CA
07/09/2009 - 12/01/2009
WADDELL & REED, INC. (FAIRFIELD CA)
CA
07/12/1999 - 02/09/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
CA
08/05/1997 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
OR
01/23/1997 - 08/19/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
CA
10/11/1994 - 12/11/1996
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NY
02/16/1990 - 10/07/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/01/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/08/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/26/2012
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/27/2001
Series 4 - Registered Options Principal Examination
BC
Issued 01/29/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/1990
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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