Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Ashlin is a financial advisor registered with Wells Fargo Clearing Services, LLC. Lisa has been in the financial services industry since 1994. Lisa has a total of six securities registrations and licenses. Lisa holds securities licenses in North Carolina. Lisa has been registered with Wells Fargo Clearing Services, LLC since 2001. Lisa's previous experience includes roles at First Union Brokerage Services, Inc. and Smith Barney Inc.
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.
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.
Investment consulting services to institutional clients
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
NC
12/31/2001 - Present
Wells Fargo Clearing Services, LLC (HUNTERSVILLE NC)
NC
08/25/1994 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
01/14/1994 - 07/28/1994
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 10/13/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/17/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/07/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/10/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/24/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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