Lisa K Gallagher

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2015 → 09/2021
  Securities America Inc
  Sarasota, FL
• 05/2017 → 09/2021
  Securities America Advisors
  Sarasota, FL
• 09/2021 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sarasota, FL

Previous Registrations

• 2017-06-09 → 2021-09-30
  Securities America Advisors, Inc.
  Sarasota, FL

Other Businesses

I*1422256 For profit or not for profit: Fiduciary Name of outside business organization: P. K. Irrevocable Trust Investment related: No Address of business: Sarasota, Florida, 34240 Position, title, association: Trustee Start date of relationship: 8/4/2023 Number of hours devoted: 1 hour Monthly Number of hours devoted during trading hours: 0 Duties: Trustee I*: 1865272 Entity Type: Business or Industry Organization Name of OBA: Sarasota County Bar Association - Estate Planning & Probate Address: Sarasota, Florida, 34237 Investment Related: No Position, Title, Association: Chair-Elect of The Estate Planning & Probate section Employee Start Date: 9/1/2025 Number of Hours: 1 hr mthly Number of Hours during trading: 1 hr mthly Duties: With the Sarasota County Bar Association (SCBA) there are Sections. The Estate Planning & Probate is a section of the SCBA. The Section facilitates programming for its members on topics of interest; in this case, estate planning and probate administration topics. I have been asked to serve as the Chair-Elect of the Section for the bar year beginning in Sept. 2024 - running through August 2025. My responsibilities will be to identify topics for programming and help find speakers for the programming. The next year is basically already set. The person who was going to fill the role backed out. For the year beginning September 2025 - May 2026, I will be responsible for selecting the speakers and putting the programming together, although I have a Steering Committee that will help and provide topics and suggested speakers.

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-06-30
• S63 Uniform Securities Agent State Law Examination
  1998-10-01

Other Names

• Lisa Marie Kelley
• Lisa Marie Kelley
• Lisa Kelley Gallagher