Lisa E Waters

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• 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

• 05/2001 → Present
  Jpmorgan Securities Llc
  Boston, MA
• 01/2017 → 05/2020
  Jpmorgan Chase Bank Na
  Boston, MA

Other Businesses

Entity Name: FINRA Investment related: yes Address: 1735 K Street, NW, Washington DC 200006-1506. Attn Andrew H Perkins/Senior Vice President-Deputy Chief Hearing Officer Nature of the other business: FINRA is an SRO Position/Title/Relationship: Other; Start Date: 01-Jun-2014 Approximate # of hours a month: less than an hour per month. Will serve on an occassional basis Approximate # of hours during securities trading hours: less than 1 hour per month Briefly describe your duties: Other - NYSE hearing board and acceptability board are administered by FINRA under a regulatory services agreement

Exams

• S66 Uniform Combined State Law Examination
  2022-03-18
• S63 Uniform Securities Agent State Law Examination
  1993-04-13

Other Names

• Lisa Estelle Kahl
• Lisa Waters
• Lisa Estelle Waters