Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Pentz is a financial advisor with over 30 years of experience in the industry. Lisa is currently registered with Piper Sandler & Co. Prior to joining Piper Sandler, Lisa has held positions at Wells Fargo Securities, LLC, Wells Fargo Institutional Securities, LLC, and Wells Fargo Brokerage Services, L.L.C. Lisa is a Series 7, Series 52TO, and Series 57TO licensed advisor. She is also registered in 15 states. Lisa specializes in providing financial advisory services to state or municipal government entities.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
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2
CA
07/31/2018 - Present
Piper Sandler & Co. (LOS ANGELES CA)
CA
11/06/2009 - 04/18/2018
WELLS FARGO SECURITIES, LLC (EL SEGUNDO CA)
CA
03/15/2001 - 05/03/2011
WELLS FARGO INSTITUTIONAL SECURITIES, LLC (LOS ANGELES CA)
CA
04/30/2007 - 11/06/2009
WELLS FARGO BROKERAGE SERVICES, L.L.C. (LOS ANGELES CA)
CA
02/18/2004 - 03/16/2006
WELLS FARGO BROKERAGE SERVICES, L.L.C. (LOS ANGELES CA)
MN
09/29/2000 - 12/31/2002
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
MA
05/19/1997 - 09/27/2000
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
CA
07/15/1996 - 04/30/1997
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
08/31/1995 - 07/15/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
04/03/1995 - 11/15/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NY
03/31/1987 - 04/02/1993
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NA
09/20/1985 - 03/13/1987
PAINEWEBBER INCORPORATED
NA
06/25/1981 - 10/30/1985
SHEARSON LEHMAN BROTHERS INC.
NA
07/31/1981 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BC
Issued 06/12/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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