FacultyFaculty/Author Profile

Lisa M. Francomano

UBS Financial Services
Executive Director, CCO
Weehawken, NJ, USA


Lisa is an Executive Director and CCO for UBS Financial Services' advisory business.  Lisa has been with UBS since 2001. Prior to her current role she was an investment advisory attorney in the legal department.  Prior to UBS, Lisa was a Vice President at Lehman Brothers providing investment advisory legal support to the firm's wrap fee and broker-managed programs.  Lisa began her career at Prudential Securities Inc. in 1992 as an analyst in the legal department.  Lisa graduated from Fairfield University and New York School of Law, evening division.
Lisa M. Francomano is associated with the following items:
Web Segment  Web Segment SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Friday, February 10, 2017
MP3 Audio  MP3 Audio SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Transcripts  Transcripts SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants - Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management - SEC/ FINRA Exam and Enforcement: Practical Compliance Considerations Retail Wealth Management , Friday, February 10, 2017
On-Demand Web Programs  On-Demand Web Programs Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, Tuesday, February 14, 2017, New York, NY
Live Seminar  Live Seminar Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
Live Webcast  Live Webcast Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Mechanicsburg, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Philadelphia, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Pittsburgh, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Nashville, TN
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