Lisa A. Thomaier
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.
Lisa Ann Thomaier, who also goes by Lisa Ann Thomas, Lisa Ann Tori, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 1986. Lisa had worked at 7 firms and has passed the Series 66, Series 63, SIE 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
September 13, 2019 - November 1, 2023
IC ADVISORY SERVICES, INC.
August 29, 2019 - November 1, 2023
THE INVESTMENT CENTER, INC.
October 23, 2009 - September 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 1, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 13, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 8, 2000 - August 16, 2000
BAINBRIDGE SECURITIES INC.
March 27, 1987 - June 26, 1987
CITIGROUP GLOBAL MARKETS INC.
October 22, 1986 - November 17, 1986
THE STUART-JAMES COMPANY, INCORPORATED
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
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
