lisa hartung_stifel_financial advisor_wealth planner_wealth planning_newport beach_californiaI have been in the financial services industry since 1998. I am a Senior Vice President/Investments at Stifel, Nicolaus & Company, Incorporated in Newport Beach, California. My past industry roles have included Wealth Management Advisor, Producing Sales Manager, and First Vice President at Merrill Lynch.

Over the many years of working with my clients' unique and often complex financial needs, one aspect of utmost importance for them is having a relationship that encompasses careful listening and consistent guidance through both the calm and turbulent times in the markets and economic cycles. I strive to provide that kind of experience for my clients.

My investment philosophy consists of a disciplined approach, offering risk management strategies and tax efficiency, with a focus on both growth and income. I customize investment strategies, utilizing Stifel's nationally recognized research platforms, and institutional money managers; all integrated into a comprehensive investment planning/analysis approach. For more information and disclosures on Stifel's research, see www.stifel.com/research.

My clientele includes high-net-worth families, professional athletes, small/mid-sized endowments, charitable foundations and corporate pension plans.  I collaborate with my clients' CPAs, attorneys, and business managers, to produce the best recommendations, and ultimately, the most successful outcome.

My areas of expertise include:

  • Personal and Corporate Investment Management
  • Wealth Preservation and Estate Transfer Strategies
  • Tax Minimization Strategies
  • Employer & Employee Retirement Benefit Solutions
  • Business Succession Planning
  • Insurance Strategic Planning: Life, Disability, and Long-Term Care

Education:

  • Bachelor of Arts in Business and Economics, The University of California, Santa Barbara
  • Minor Degree in Spanish, The University of California, Santa Barbara
  • CIMA® (Certified Investment Management Analyst®) accreditation through The Investment & Wealth Institute formerly IMCA and taught in conjunction with The Wharton School of Business, University of Pennsylvania
  • AIF® (Accredited Investment Fiduciary®) accreditation through the Center for Fiduciary Studies.

    (The CIMA® certification identifies individuals who have met extensive experience and ethical requirements and successfully completed advanced management consulting coursework provided through one of the four top-20 business schools in the U.S.: Carnegie Mellon University's Tepper School of Business, The University of Chicago Booth School of Business, MIT Sloan School of Management, or The Wharton School, University of Pennsylvania).
  • FINRA Securities Licenses: Series 7; 9; 10; 63; 65
  • CA Insurance License #0C90141

Civic Involvement:

  • Member of the Santa Margarita Catholic High School Consultative School Board.
  • Member of the Santa Margarita Catholic High School Foundation Board.
  • Current Member of Childhelp, Orange County, California.
  • Volunteer at Our Lady Queen of Angels School, Newport Beach, California.

I reside in Newport Beach, California with my husband and two sons.

I look forward to extending my services to you, your family, or your business. Please contact me about strategies for your investment plan.

 

 

Neither Stifel nor its associates provide tax or legal advice.  You should consult with your tax or legal advisor regarding your particular situation.