Lisa C Lo

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 10/2005 → 01/2022
  Rbc Capital Markets, Llc
  Denver, CO
• 06/2019 → 01/2022
  City National Bank
  Denver, CO
• 01/2022 → Present
  Stifel Nicolaus & Co Inc
  Cherry Creek, CO

Previous Registrations

• 2005-08-30 → 2022-01-14
  Rbc Capital Markets, Llc
  Denver, CO
  Denver, CO

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-08-23
• S63 Uniform Securities Agent State Law Examination
  2000-06-17

Designations

• Certified Financial Planner

Other Names

• Hua Cai