Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Risa? Claim Your ProfileRisa Lee Jones is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Risa has been in the industry since July 6, 1986 and has been with Merrill Lynch since October 28, 1987. Risa has a Series 7, Series 63, and Series 65 license and holds registrations in many states. Risa has a broad range of experience in the financial services industry and is committed to providing her clients with the best possible investment advice.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
10/28/1987 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LUBBOCK TX)
NA
05/22/1986 - 09/10/1987
DEAN WITTER REYNOLDS INC.
IA
Issued 05/06/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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