Lisa Windsor is a CFP-designated registered investment advisor, based in Los Angeles, CA, with 14 years of industry experience.
Location
2121 Avenue of the Stars, Suite 1600, Los Angeles, CA, 90067
Get directionsHistory
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.
Learn about disclosures →Other Business Activities
Lisa works as an advisor for Signature Estate & Investment Advisors LLC, focusing on RIA sales and service. This role is investment-related and takes nearly full-time hours.
Employment History
Current Registrations
Signature Estate Securities, LLCBroker
August 2023 - Present · 3 yrs 1 mo
Seia
February 2023 - Present · 3 yrs 7 mos
Previous Registrations
Osaic Wealth, INC.Broker
February 2023 - August 2023 · 6 mos
Royal Alliance Associates, INC.
February 2023 - March 2023 · 1 mo
Fidelity Personal and Workplace Advisors
July 2018 - October 2021 · 3 yrs 3 mos
Strategic Advisers LLC
March 2014 - July 2018 · 4 yrs 4 mos
Fidelity Brokerage Services LLCBroker
January 2014 - October 2021 · 7 yrs 9 mos
T. Rowe Price Advisory Services, INC.
January 2011 - January 2014 · 3 yrs
T. Rowe Price Investment Services, INC.Broker
October 2010 - January 2014 · 3 yrs 3 mos
State Registrations1 state
VA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.