Lisa Balducci (CRD# 4809939) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Statesville, NC and has over 19 years of experience in the finance industry.
CRD# 1876666
Lion Street Advisors, LLC
CRD# 4682375
Jarrod Adams Investing, LLC
CRD# 4592855
3a Financial Group LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Bank Of America, N.a. | Mooresville, NC | Oct 2019 - Current | 4 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Mooresville, NC | Oct 2019 - Current | 4 |
| Woodbury Financial Services Inc. | Huntersville, NC | Oct 2018 - Current | 5 |
| Unemployed | Mooresville, NC | Jan 2018 - Sep 2018 | < 1 |
| Hsbc Securities (usa) Inc. | Depew, NY | Jul 2017 - Jan 2018 | < 1 |
| M&t Securities | Buffalo, NY | Aug 2001 - Jul 2017 | 15 |
| Think Outside The Square | Buffalo, NY | Mar 2017 - May 2017 | < 1 |
| Kohls Department Store | E. Amherst, NY | Aug 2016 - May 2017 | < 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jul 2004 |
| S66 | NASAA Uniform Combined State Law Examination | Feb 2021 |
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- NC
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- 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)
- Educational seminars/workshops
- Other
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