Lisa Shaw
Lisa Shaw is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Kansas City, MO, with 30 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
4801 Main St, Kansas City, MO, 64112
Get directionsHistory
Regulatory History (1)
Customer Dispute
September 2010Other Business Activities
Lisa is the Assistant Secretary/Treasurer for Severin Farm, a family-held S-Corp, dedicating minimal time annually. She also serves as a trustee for JS Irrv Tr and L S TTEE, spending minimal time on these fiduciary duties.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
Banc of America Investment Services, INC.Broker
Banc of America Investment Services, INC.
U.S. Bancorp Investments, INC.
U.S. Bancorp Investments, INC.Broker
Firstar Investment Services,inc.Broker
Morgan Stanley Dw INC.Broker
State Registrations29 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.