Lisa Smith
Lisa Smith is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Walnut Creek, CA, with 35 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
1331 N California Blvd, Walnut Creek, CA, 94596
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Lisa is a panel member for FINRA, arbitrating financial services disputes, dedicating minimal time. Lisa also owns Lisa Smith Life Coaching, working as a consultant/independent contractor for a few hours per week.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Cetera Investment Services LLCBroker
Cetera Investment Services LLC
Northern Trust Securities, INC.Broker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Waddell & Reed, INC.
Waddell & Reed, INC.Broker
Banc of America Investment Services, INC.Broker
Banc of America Investment Services, INC.
Ba Investment Services, INC.Broker
U.S. Bancorp SecuritiesBroker
Ba Investment Services, INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations53 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.