Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Tracy is a financial advisor with over 14 years of experience in the industry. Lisa is registered in Minnesota and Nebraska as a broker and has a Series 7, 63, 3, 24, 4, 52TO, 34 and SIE licenses. Lisa has experience working with high-net-worth individuals, individuals other than high-net-worth, pension and profit-sharing plans, and charitable organizations. Lisa is currently employed by Northland Securities, Inc., which has been in business for many years and has a long history of providing financial advice to a variety of clients. Northland Securities, Inc. is a well-respected firm with a strong track record of success. Lisa is committed to providing her clients with personalized financial advice that meets their individual needs and goals.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Research 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.
Negotiated
1
2
MN
09/18/2023 - Present
Northland Securities, Inc. (MINNEAPOLIS MN)
NY
02/09/2022 - 01/20/2023
DRIVEWEALTH, LLC (NEW YORK NY)
TX
01/09/2022 - 02/04/2022
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NE
11/08/2011 - 01/11/2022
TD AMERITRADE, INC. (OMAHA NE)
MO
09/20/2017 - 09/10/2018
SCOTTRADE, INC. (ST. LOUIS MO)
NE
11/21/2008 - 11/08/2011
TD AMERITRADE CLEARING, INC. (BELLEVUE NE)
BC
Issued 12/17/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/08/2020
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/31/2012
Series 4 - Registered Options Principal Examination
BC
Issued 07/06/2011
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 02/17/2012
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 09/14/2011
Series 3 - National Commodity Futures Examination
BC
Issued 11/20/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
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