Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Rosenau is a financial advisor with Ameriprise Financial Services, LLC. Lisa has been in the financial services industry since 1989 and has worked with clients in various industries, including individual investors, small business owners, and high-net-worth individuals. Lisa's experience includes providing financial planning, investment management, and retirement planning services.
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.
Asset allocation services
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.
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2
CA
10/01/2012 - Present
Ameriprise Financial Services, LLC (SANTA CRUZ CA)
CA
01/19/2006 - 09/28/2012
GENEOS WEALTH MANAGEMENT, INC. (SANTA CRUZ CA)
CA
10/31/2005 - 12/31/2005
AIG FINANCIAL ADVISORS, INC. (SANTA CRUZ CA)
AZ
09/30/1997 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
FL
01/18/1996 - 05/20/1997
INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)
FL
07/31/1992 - 08/11/1994
INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)
SC
03/02/1992 - 08/11/1992
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
CA
03/23/1990 - 02/04/1992
FOOTHILL SECURITIES, INC. (SANTA CLARA CA)
CA
08/12/1988 - 05/21/1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NA
01/21/1987 - 05/17/1988
MURPHEY FAVRE, INC.
BOTH
Issued 02/25/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/02/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/21/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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