Lisa Suzanne Sharp
CFP®Professional Summary
Lisa Suzanne Sharp, CFP®, who also goes by Lisa Suzanne Milkes, Lisa Sharp, is a registered financial advisor currently at SPECTRUM ASSET MANAGEMENT INC located in Gunter, Texas. Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Lisa has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 8 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lisa Suzanne Milkes, Lisa Sharp
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Credentials
Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
SPECTRUM ASSET MANAGEMENT INC
Contact Information
Main Address
1301 Dove Street Suite 720, Newport Beach, CA 92660-2453Phone Number
(949) 717-3400# of Employees
12SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
932AUM (Assets Under Management)
$657,266,993Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
SPECTRUM ASSET MANAGEMENT INC
State Registrations and Notice Filings
(10/27/2016)
(2/3/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1999Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Lisa Suzanne Sharp's CRS (Customer Relationship Summary).
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