Lisa James, financial advisor San Rafael CA

Lisa James

CRD 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.

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Company Name Location Dates Years
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
Contact Info for Lisa R. James
Phone Number: 212-269-7800
Firm Website: https://www.ingalls.net
Registered State(s):
  • CA
  • NY
By the Numbers
  • Total Assets Under Management
    4,651
    MILLIONS
  • Total Number of Accounts
    5,047
    ACCOUNTS
  • Average Account Value
    $921,548
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • 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
  • Other
Types of Clients
Registered States

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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