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CRD#: 21950
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FIRM PROFILE
Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information
Where the Statistical Data for LISS FINANCIAL SERVICES Comes From
Understanding the Statistics for LISS FINANCIAL SERVICES and How They Compare to Other Firms Through Our Analysis
Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
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Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
10
Arbitration
6
FIRM INFORMATION
Established
Wisconsin since 02/01/1988
Firm Type
Corporation
Fiscal year end
March
Related websites
Participation or Interest in Client Transactions
Self-custody
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
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Advisor's working at LISS FINANCIAL SERVICES
RS
Rajpreet S Sangha
IAR
RR
CRD#: 6336275
Location:
Tracy, CA
Company:
PRINCIPAL SECURITIES, INC.
Disclosures:
Experience:
12 years
DF
Daniel Eugene Fisher SR
PR
CRD#: 1727495
Location:
Minneapolis, MN 55402
Company:
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures:
Experience:
38 years
Joshua Lyndon Carter
IAR
RR
CRD#: 6287193
Location:
Conway, AR 72032
Company:
MML INVESTORS SERVICES, LLC
Disclosures:
Experience:
11 years
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