Lisa J. Ullsperger
Professional summary
Lisa Jean Ullsperger, who also goes by Lisa Jean Fowler, Lisa J Ullsperger, Lisa Jean Ullsperger, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Greenwood Village, Colorado.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 1998. Lisa has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Jean Ullsperger's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 6501 S Fiddler's Green Circle Ste 300 - 600, Greenwood Village, CO 80111-4932December 7, 2010 - December 31, 2014
CHARLES SCHWAB & CO., INC.
January 29, 2010 - July 14, 2022
CHARLES SCHWAB & CO., INC.
November 1, 2004 - December 2, 2008
FARMERS FINANCIAL SOLUTIONS, LLC
February 14, 2001 - January 26, 2004
ALPS DISTRIBUTORS, INC.
September 6, 2000 - January 22, 2001
J. P. MORGAN ADVISORY SERVICES INC.
April 6, 2000 - January 19, 2001
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
October 21, 1998 - April 7, 2000
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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