Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lisa? Claim Your ProfileLisa Yvonne Cooper is an active broker and investment advisor representative with over 23 years of experience in the financial services industry. Currently, Lisa is registered with Morgan Stanley and holds a Series 7, Series 10, Series 9, Series 24, Series 4, Series 53, and Series 66 license. Lisa is also a registered investment advisor representative in New Hampshire and Texas. Prior to joining Morgan Stanley, Lisa was previously registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., and Morgan Stanley DW Inc. Lisa has extensive experience in providing financial advice to individuals, businesses, investment companies, insurance companies, charitable organizations, and government entities. Lisa's specialties include asset allocation advice, financial planning, pension consulting, and portfolio management.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NH
03/26/2020 - Present
Morgan Stanley (Manchester NH)
NC
10/23/2009 - 10/24/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
08/31/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NH
09/21/1999 - 09/01/2006
MORGAN STANLEY DW INC. (MANCHESTER NH)
RI
01/01/1999 - 06/11/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BOTH
Issued 04/10/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/11/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/15/2008
Series 4 - Registered Options Principal Examination
BC
Issued 10/05/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/05/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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