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Lisa Von redden

UBS Securities LLC

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About Lisa Von redden

Lisa Von redden has been in the financial services industry for over 20 years and is a registered representative with UBS Securities LLC. Lisa is a highly experienced professional with a strong track record of success in the financial services industry. Lisa holds a variety of licenses and designations, including Series 7, Series 63, Series 27, and SIE. Lisa's areas of expertise include financial planning, investment management, and retirement planning. Lisa previously worked for Deutsche Bank Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Lisa Von redden is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Lisa Von redden’s Registration & Firm History

NY

10/21/2019 - Present

UBS Securities LLC (NEW YORK NY)

NY

10/25/2017 - 10/09/2019

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

04/05/2016 - 10/02/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

07/06/1992 - 06/07/1993

DISCOUNT CORPORATION OF NEW YORK

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Licenses & Designations

BC

Issued 12/14/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/26/2020

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/05/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Lisa Von redden.
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