Lisa Suzanne Sharp

CFP

Spectrum Asset Management INC

15 Years of Experience

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & CoachingRetirement Planning

Spectrum Asset Management INC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

7 advisors

Number of Clients

318 clients

Average Client Portfolio

$2.0M average

Assets Under Management

$640.1M

Fee Structure

Minimum Investment:$1M

Location

1301 Dove Street, Suite 720, Newport Beach, CA, 92660-2453

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History

Regulatory History

Clean regulatory record

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.

Employment History

Current Registrations

Spectrum Asset Management INC

October 2016 - Present · 9 yrs 4 mos

Previous Registrations

Charles Schwab & CO., INC.

July 1997 - May 2004 · 6 yrs 10 mos

State Registrations2 states

CATX

Advisor

Exams

No exam information available for this advisor.