Lisa Pierson, financial advisor Sequim WA
81 score

Lisa Pierson

CRD Number: 1246752
Current Firm: Kms Financial Services, Inc.

Lisa Pierson (CRD# 1246752) is an Investment Advisor Representative working at Kms Financial Services, Inc. in Sequim, WA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Kms Financial Services, Inc. Seattle, WA Mar 2015 - Current 1
Centaurus Financial Inc. Anaheim, CA Jul 2014 - Mar 2015 < 1
J.p. Morgan Chase Bank Sequim, WA Dec 2012 - Jul 2014 1
J.p. Morgan Securities, LLC Sequim, WA Dec 2012 - Jul 2014 1
Isagenix International Chandler, AZ Jul 2012 - Nov 2012 < 1
Thrivent Financial For Lutherans Appleton, WI Jun 2011 - Nov 2012 1
Thrivent Investment Management Inc. Sequim, WA Feb 2011 - Nov 2012 1
Thrivent Investment Management Inc. Sequim, WA Jan 2011 - Feb 2011 < 1
Balance Builders, Inc. Bonners Ferry, ID May 1996 - Dec 2010 14
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination May 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Lisa H. Pierson
Phone Number: [206]441-2885
Registered State(s):
  • CA
  • WA
By the Numbers
  • Total Assets Under Management
    5,174
    MILLIONS
  • Total Number of Accounts
    24,587
    ACCOUNTS
  • Average Account Value
    $210,434
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
81

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