Alice C. Panzer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alice Cecilia Panzer, who also goes by Alice Cecelia Ballantyne, was a registered financial professional .
Alice is a previously registered financial professional and started their career in finance in 1985. Alice had worked at 12 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2018 - December 31, 2018
LIFEMARK SECURITIES CORP.
April 3, 2012 - December 31, 2017
LIFEMARK SECURITIES CORP.
August 24, 2011 - February 29, 2012
CHELSEA FINANCIAL SERVICES
February 19, 2010 - June 28, 2010
NORTH GLOBAL SECURITIES, INC.
November 14, 2008 - August 26, 2011
NORTH WEALTH MANAGEMENT COMPANY, LLC
December 7, 2007 - June 5, 2008
WADDELL & REED
October 17, 2007 - June 5, 2008
WADDELL & REED
February 22, 2005 - September 26, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 4, 2003 - February 23, 2004
EQUITABLE ADVISORS, LLC
October 10, 2001 - December 31, 2002
OPPENHEIMER & CO. INC.
November 17, 1997 - October 11, 2001
JANNEY MONTGOMERY SCOTT LLC
July 22, 1997 - November 25, 1997
TUCKER ANTHONY INCORPORATED
April 1, 1987 - August 8, 1997
MORGAN STANLEY DW INC.
August 20, 1985 - November 25, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
