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LISA JOANN ENGSTROM
LISA SHEPHARD
CRD#: 1216599
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1610 ARDEN WAY
SACRAMENTO, CA 95815
Registration History
19952000200520102015202020252 FIRMS2005 - 2015 (9 years)2 FIRMS2015 - Present (9 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2005 (11 years)BLEHMAN BROTHERS INC. (CRD# 7506)1993 - 1993 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2005 (7 years)
License(s)

State Registrations

B
Alabama 5/19/2023

B
Montana 2/3/2022

B
Alaska 5/19/2023

B
Nevada 2/22/2022

B
Arizona 2/17/2022

B
New Hampshire 2/14/2022

B
California 7/10/2015

B
New Jersey 5/19/2023

IA
California 7/10/2015

B
New Mexico 2/3/2022

B
Colorado 2/3/2022

B
New York 2/3/2022

B
Florida 2/4/2022

B
North Carolina 2/4/2022

B
Georgia 2/4/2022

B
Ohio 5/19/2023

B
Hawaii 2/4/2022

B
Oklahoma 5/19/2023

B
Idaho 2/4/2022

B
Oregon 2/3/2022

B
Illinois 2/9/2022

B
Pennsylvania 5/19/2023

B
Iowa 2/7/2022

B
South Dakota 2/7/2022

B
Kansas 2/3/2022

B
Tennessee 2/3/2022

B
Massachusetts 2/7/2022

B
Texas 2/3/2022

B
Michigan 2/7/2022

B
Utah 2/3/2022

B
Minnesota 5/19/2023

B
Virginia 7/14/2022

B
Missouri 2/4/2022

B
Washington 2/3/2022

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1610 ARDEN WAY, SACRAMENTO, CA 95815
Registered with this firm since 7/10/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1610 ARDEN WAY, SACRAMENTO, CA 95815
Registered with this firm since 7/10/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/20/2005 - 03/19/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) STOCKTON, CA
B
04/20/2005 - 03/19/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) STOCKTON, CA
IA
07/08/1997 - 04/26/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) FOLSOM, CA
B
07/31/1993 - 04/26/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
06/22/1993 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.