Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lissette? Claim Your ProfileLissette Figueroa is a financial advisor with Wells Fargo Clearing Services, LLC. Lissette has been in the financial services industry since March 14, 2012. Previously, Lissette Figueroa has worked at UBS Financial Services Inc., Neuberger Berman LLC, BTIG, LLC, RBC Capital Markets, LLC, and BNP Paribas Prime Brokerage, Inc. Lissette Figueroa is registered in several states, including New York, California, and Florida. Lissette Figueroa holds the Series 7, Series 9, Series 63, and Series 66 licenses.
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
NY
09/07/2022 - Present
Wells Fargo Clearing Services, LLC (PURCHASE NY)
NY
08/09/2016 - 12/16/2021
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
09/22/2014 - 06/28/2016
NEUBERGER BERMAN LLC (NEW YORK NY)
NY
06/30/2014 - 09/05/2014
BTIG, LLC (NEW YORK NY)
NY
02/01/2012 - 07/08/2014
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
03/04/2011 - 12/06/2011
BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)
BOTH
Issued 09/28/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/10/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/23/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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