Lisa JamesCRD Number: 1431340
Current Firm: Ingalls & Snyder LLC
Lisa James (CRD# 1431340) is an Investment Advisor Representative working at Ingalls & Snyder LLC in San Rafael, CA and has over 35 years of experience in the finance industry.
Polaris Wealth Advisory Group
Monetary Management Corporation
Perigon Wealth Management, LLC
|Ingalls & Snyder LLC||New York, NY||Aug 2017 - Current||4|
|Lisa James Design & Development||Ross, CA||Feb 2014 - Jul 2017||3|
|Unemployed||Ross, CA||Jan 1999 - Jan 2014||15|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1986|
|S65||NASAA Investment Advisors Law Examination||Nov 2017|
Total Assets Under Management4,651MILLIONS
Total Number of Accounts5,047ACCOUNTS
Average Account Value$921,548
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, ID, IL, IN, KY, LA, MA, MD, ME, MI, MN, MO, MT, NC, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, VA, VT, WA, WY
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